Delivering output XML with dynamically selectable processing

ABSTRACT

In response to a user request, an Identity System generates an Output XML containing raw identity information organized in accordance with a set of XML templates. The Identity System dynamically determines the desired response type and prepares the response from the Output XML. One response type is server-side processing—the Identity System combines the Output XML with XSL stylesheets to generate a HTML response. An alternative response type is client-side processing—the Identity System supplies the user with the Output XML. In further client-side embodiments, the Identity System provides XSL stylesheet references along with the Output XML. Additional embodiments provide for the Identity System to perform customized post-processing on the Output XML.

This application claims the benefit of U.S. Provisional Application No.60/258,087, “Integrated Identity and Access Management Systems WithGroup and Organization Managers,” filed on Dec. 22, 2000; and U.S.Provisional Application No. 60/285,524, “Integrated Identity and AccessManagement System,” filed on Apr. 20, 2001; both of which areincorporated herein by reference.

COPYRIGHT NOTICE

A portion of the disclosure of this patent document contains material,which is subject to copyright protection. The copyright owner has noobjection to the reproduction by anyone of the patent document or thepatent disclosure as it appears in the United States Patent andTrademark Office patent file or records, but otherwise reserves allcopyright rights whatsoever.

CROSS REFERENCE TO RELATED APPLICATIONS

This Application is related to United States Patent Application titled“Preparing Output XML Based on Selected Programs and XML Templates,” byMichele C. Lee, Attorney Docket Number OBLX-01029US0, filed on the sameday as the present application, which is incorporated herein byreference.

BACKGROUND OF THE INVENTION

1. Field of the Invention

The present invention is directed to technology for delivering responsesto server requests.

2. Description of the Related Art

Identity Systems have become more popular with the growth of theInternet and the use of networks and other information technologies. Ingeneral, an Identity System provides for the creation, removal, editingand other management of identity information stored in various types ofdata stores. The identity information pertains to users, groups,organizations and things. For each entry in the data store, a set ofattributes is stored. For example, the attributes stored for a user mayinclude a name, address, employee number, telephone number, emailaddress, user ID and password. The Identity System can also manageaccess privileges that govern the subject matter an entity can view,create, modify or use in the Identity System.

An Identity System responds to users' identity information relatedrequests from browsers or third party applications. For example, a usermay request to search and view identity information from the profiles ofindividuals that meet a specified set of criteria. In providing aresponse, the Identity System gathers, organizes, and supplies identityinformation.

In the past, browsers only received request responses in HTML format.XML has emerged as a popular alternative format for documents exchangedbetween browsers and servers. The coexistence of browsers favoring HTMLand browsers favoring XML creates a challenge for IdentitySystems—determining the appropriate format to use in preparingresponses.

Some traditional Identity Systems have addressed this challenge by onlyproviding HTML responses, since many XML enabled browsers are alsocompatible with HTML. This solution, however, denies users of theflexibility and advantages offered by the XML format. XML allows usersto separate a response's raw data from the response's displayformat—making raw unformatted data available for browsers andthird-party applications.

It is desirable for an Identity System to dynamically supply users witheither HTML or XML responses.

SUMMARY OF THE INVENTION

Roughly described, embodiments of the present invention enable anIdentity System to dynamically determine whether to supply HTML or XMLresponses. Further embodiments provide for the Identity System toperform customized post-processing on data to be supplied in theresponse.

The Identity System in one implementation generates an Output XML fileas the basis for a response to a user's request. The Output XML containsraw identity information organized in accordance with a set of XMLtemplates. The Identity System dynamically determines the desired typeof response and prepares the response from the Output XML. In oneembodiment, the Identity System identifies the desired response typefrom the body of the request. In another embodiment, the Identity Systemmaintains a list of browsers and third party applications along with thetype of responses they desire.

One response type provided by the Identity System is server-sideprocessing. In server-side processing, the Identity System combines theOutput XML with XSL stylesheets to generate a HTML response. TheIdentity System also performs client-side processing. In client-sideprocessing, the Identity System supplies the user with the OutputXML—enabling a browser or third party application to have direct accessto raw XML data. The Identity System provides the Output XML eitheralone or along with references to a set of XSL stylesheets that clientscan access.

In further embodiments of the present invention, dynamic responseformatting is employed in processing environments other than an IdentitySystem. Dynamic response formatting can have broad applicability toenhance the performance of many different server based systems.

The present invention can be accomplished using hardware, software, or acombination of both hardware and software. The software used for thepresent invention is stored on one or more processor readable storagemedia including hard disk drives, CD-ROMs, DVDs, optical disks, floppydisks, tape drives, RAM, ROM or other suitable storage devices. Inalternative embodiments, some or all of the software can be replaced bydedicated hardware including custom integrated circuits, gate arrays,FPGAs, PLDs, and special purpose computers.

These and other objects and advantages of the present invention willappear more clearly from the following description in which thepreferred embodiment of the invention has been set forth in conjunctionwith the drawings.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 is a block diagram depicting the components of one embodiment ofthe present invention.

FIG. 2 is a block diagram depicting exemplar components of a computingsystem that can be used to implement the present invention.

FIG. 3 is a block diagram depicting an embodiment of the presentinvention that supports multiple data stores.

FIG. 4 is a flow chart describing one embodiment of a process forsupporting multiple data stores.

FIG. 5 is an example of a directory tree structure.

FIG. 6 is a flow chart describing one embodiment of a process foraccessing the Identity System.

FIG. 7 is a block diagram of a cookie.

FIG. 8 is a block diagram depicting the User Manager.

FIG. 9 is a block diagram depicting the Group Manager.

FIG. 10 is a block diagram depicting the Organization Manager.

FIG. 11 is a flow chart describing one embodiment of a process forconfiguring rights to access attributes.

FIG. 12 is a flow chart describing one embodiment of a process forallowing an entity to view attributes

FIG. 13 is a flow chart describing one embodiment of a process fordelegating rights.

FIG. 14 is a flow chart describing one embodiment of a process forenabling another to be a proxy.

FIG. 15 is a flow chart describing one embodiment of a process forbecoming a proxy for another.

FIG. 16 is a flow chart describing an overview of a process for creatingand using workflows.

FIG. 17 is a flow chart describing one embodiment of a process forcreating a template.

FIG. 18 is a flow chart describing one embodiment of a process forcreating a workflow.

FIG. 19 is a flow chart describing one embodiment of a process fordefining steps for a workflow.

FIG. 20 is a flow chart describing one embodiment of a process for usinga workflow.

FIG. 21 is a flow chart describing one embodiment of a process for usinga subflow.

FIG. 22 is a flow chart describing one embodiment of a process forcreating a cross application workflow.

FIG. 23 is a flow chart describing one embodiment of a process performedto implement a cross application workflow.

FIG. 24 is a flow chart describing one embodiment of a process performedby a workflow client program to implement a cross application workflow.

FIG. 25 is a flow chart describing one embodiment of a process forviewing all groups of an entity.

FIG. 26 is a flow chart describing a second embodiment of a process forviewing all groups of an entity.

FIG. 27 is a flow chart describing one embodiment of a process fordetermining the members of a group.

FIG. 28 is a flow chart describing a second embodiment of a process fordetermining the members of a group.

FIG. 29 is a flow chart describing one embodiment of a process forsubscribing to a group.

FIG. 30 is a flow chart describing one embodiment of a process forun-subscribing from a group.

FIG. 31 is a flow chart describing one embodiment of a process forexpanding a group.

FIG. 32 is a flow chart describing an overview of an exemplar processfor adding and removing auxiliary classes.

FIG. 33 is a flow chart describing one embodiment of a process forremoving auxiliary classes.

FIG. 34 is a flow chart describing one embodiment of a process foradding auxiliary classes.

FIG. 35 is a flowchart describing a process for responding to a client'srequest.

FIG. 36 is a flowchart describing a process for responding to a requestfor a pre-processing application.

FIG. 37 is a block diagram illustrating an identity server's programservice and XML data registry.

FIG. 38 is a flowchart describing a process for translating a request.

FIG. 39 is a flowchart describing a process for preparing Output XML.

FIG. 40 is a flowchart describing a process for responding to a requestfor a post-processing application.

FIG. 41 is a flowchart describing a process for preparing a client-sideresponse.

FIG. 42 is a flowchart describing a process for preparing a server-sideresponse.

FIG. 43 is a flowchart describing a process for identifying an XMLtemplate for a navigation bar.

FIG. 44 is a block diagram representing a thread of execution.

FIG. 45 is a flowchart describing a process for performing request-basedcaching.

FIG. 46 is a block diagram showing an interconnection between twoidentity servers.

FIG. 47 is a flowchart describing a process for servicing a request thatrequires operations to be performed by multiple identity servers.

FIG. 48 is a flowchart describing a process for servicing a localcomponent of a remote request.

FIG. 49 is a flowchart describing a process for servicing a remotecomponent of a remote request.

FIG. 50 is a flowchart describing a process for flushing local caches.

FIG. 51 is a flowchart describing a process for flushing remote caches.

FIG. 52 is a block diagram of an identity server coupled to an authoritythat issues certificates.

FIG. 53 is a flowchart describing a process for processing a certificaterelated request.

FIG. 54 is a flowchart describing a process for responding to acertificate enrollment request.

FIG. 55 is a flowchart describing a process for obtaining a certificate.

FIG. 56 is a flowchart describing a process for responding to acertificate renewal request.

FIG. 57 is a flowchart describing a process for obtaining an automaticcertificate renewal.

FIG. 58 is a flowchart describing a process for responding to acertificate revocation request.

FIG. 59 is a flowchart describing a process for obtaining a certificaterevocation.

FIG. 59A is a flow chart describing one embodiment of a process forobtaining and maintaining real time certificate status.

FIG. 59B is a flow chart describing one embodiment of a process forexporting a certificate.

FIG. 59C is a flow chart describing one embodiment of a process fordisplaying certificate information.

FIG. 60 is a flow chart describing a process for creating a policydomain.

FIG. 61 is a flow chart describing a process for adding an authorizationrule.

FIG. 62 is a flow chart describing a process for adding header variablesto an HTTP request.

FIG. 63 is a flow chart describing a process for adding anauthentication rule.

FIG. 64 is a flow chart describing a process for creating a policy.

FIG. 65 is a flow chart describing an exemplar process performed by theAccess System of one embodiment of the present invention.

FIG. 66 is a flow chart describing a process for determining whether aparticular resource is protected.

FIG. 67 is a flow chart describing a process for mapping a resource witha policy domain.

FIG. 68 is a flow chart describing a process for retrieving first andsecond level authentication rules.

FIG. 69 is a flow chart describing a process for determining whether aresource URL matches a specific policy URL.

FIG. 70 is a flow chart describing authentication.

FIG. 71 is a block diagram depicting the components of one embodiment ofa cookie.

FIG. 72 is a flowchart describing a process for authorization.

FIG. 73 is a flow chart describing a process for obtaining first andsecond level authorization rules from a Directory Server.

FIG. 74 is a flow chart describing a process for evaluating anauthorization rule.

DETAILED DESCRIPTION

FIG. 1 depicts an access management system, which provides identitymanagement services and/or access management services for a network. Theidentity management portion of the system (hereinafter “the IdentitySystem”) manages identity profiles, while the access management portionof the system (hereinafter “the Access System”) provides security forresources across one or more Web Servers. A key feature of oneembodiment of this system is the centralization of the repositories forpolicies and user identity profiles, while decentralizing theiradministration. That is, one embodiment of the system centralizes thepolicy and identity repositories by building them on a directory servicetechnology. The system decentralizes their administration by hierarchydelegating administrative roles. Although the system of FIG. 1 includesan Identity System and an Access System, other embodiments may onlyinclude an Identity System or only include an Access System.

FIG. 1 is a block diagram depicting one embodiment for deploying anintegrated Identity System and Access System. FIG. 1 shows web browsers12 and 14 accessing Web Server 18 and/or Web Server 20 via network 16.One example of a network is the Internet. In one embodiment, webbrowsers 12 and 14 are standard web browsers known in the art running onany suitable type of computer. FIG. 1 depicts web browsers 12 and 14communicating with Web Server 18 and Web Server 20 using HTTP over theInternet; however, other protocols and networks can also be used.

Web Server 18 is a standard Web Server known in the art and provides anend user with access to various resources via network 16. One embodimentincludes two firewalls. A first firewall (see dotted lines) is connectedbetween network 16 and Web Server 18. A second firewall (see dottedlines) is connected between Web Servers 16 and 18 and Access Server34/Identity Server 40.

FIG. 1 shows two types of resources: resource 22 and resource 24.Resource 22 is external to Web Server 18 but can be accessed through WebServer 18. Resource 24 is located on Web Server 18. A resource can beanything that is possible to address with a uniform resource locator(URL, see RFC 1738). A resource can include a web page, softwareapplication, file, database, directory, a data unit, etc. In oneembodiment, a resource is anything accessible to a user on a network.The network could be the Internet, a LAN, a WAN, or any other type ofnetwork. Table 1, below, provides examples of resources and at least aportion of their respective URL syntax:

Resource URL Encoding Directory /Sales/ HTML Page/Sales/Collateral/index.html CGI Script with no query/cgi-bin/testscript.cgi CGI Script with query/cgi_bin/testscript.cgi?button=on Application /apps/myapp.exe

A URL includes two main components: a protocol identifier and a resourcename separated from the protocol identifier by a colon and two forwardslashes. The protocol identifier indicates the protocol used to fetchthe named resource. Examples of protocols include HTTP, FTP, Gopher,File and News. The resource name is the complete address to theresource. The format of the resource name depends on the protocol. ForHTTP, the resource name includes a host name, a file name, a port number(optional) and a reference (optional). The host name is the name of themachine on which the resource resides. The file name is the path name tothe file on the machine. The port number is the number of the port towhich to connect. A reference is a named anchor within a resource thatusually identifies a specific location within a file. Consider thefollowing URL:

“http://www.oblix.com/oblix/sales/index.html.”

The string “http” is the protocol identifier. The string “www.oblix.com”is the host name. The string “/oblix/sales/index.html” is the file name.

A complete path, or a cropped portion thereof, is called a URL prefix.In the URL above, the string “/oblix/sales/index.html” is a URL prefixand the string “/oblix” is also a URL prefix. The portion of the URL tothe right of the host name and to the left of a query string (e.g. tothe left of a question mark, if there is a query string) is called theabsolute path. In the URL above, “/oblix/sales/index.html” is theabsolute path. A URL can also include query data, which is typicallyinformation following a question mark. For example, in the URL:

http://www.oblix.com/oblix/sales/index.html?user=smith&dept=sales

the query data is “user=smith&dept=sales.” Although the discussionherein refers to URLs to identify a resource, other identifiers can alsobe used within the spirit of the present invention.

FIG. 1 shows Web Server 18 including Web Gate 28, which is a softwaremodule. In one embodiment, Web Gate 28 is a plug-in to Web Server 18.Web Gate 28 communicates with Access Server 34. Access Server 34communicates with Directory Server 36.

The Access System includes Access Server 34, Web Gate 28, and DirectoryServer 36. Access Server 34 provides authentication, authorization,auditing logging services. It further provides for identity profiles tobe used across multiple domains and Web Servers from a single web-basedauthentication (sign-on). Web Gate 28 acts as an interface between WebServer 18 and Access Server 34. Web Gate 28 intercepts requests fromusers for resources 22 and 24, and authorizes them via Access Server 34.Access Server 34 is able to provide centralized authentication,authorization, and auditing services for resources hosted on oravailable to Web Server 18 and other Web Servers.

The Identity System includes Web Pass 38, Identity Server 40 andDirectory Server 36. Identity Server 40 manages identity profiles. Anidentity profile is a set of information associated with a particularentity (e.g. user, group, organization, etc.). The data elements of theidentity profile are called attributes, which are discussed in moredetail below. An attribute may include a name, value and accesscriteria. The Identity Server includes three main applications, whicheffectively handle the identity profiles and privileges of the userpopulation: User Manager 42, Group Manager 44, and Organization Manager46. User Manager 42 manages the identity profiles for individual users.Group Manager 44 manages identity profiles for groups. OrganizationManager 46 manages identity profiles for organizations. Identity Server40 also includes Publisher 48, an application that enables entities toquickly locate and graphically view information stored by DirectoryServer 36. In one embodiment, Web Pass 38 is a Web Server plug-in thatsends information back and forth between Identity Server 40 and the WebServer 20, creating a three-tier architecture. The Identity System alsoprovides a Certificate Processing Server (not shown in FIG. 1) formanaging digital certificates.

User Manager 42 handles the functions related to user identities andaccess privileges, including creation and deletion of user identityprofiles, modification of user identity profile data, determination ofaccess privileges, and credentials management of both passwords anddigital certificates. With User Manager 42, the create, delete, andmodify functions of user identity management can be set as flexible,multi-step workflows. Each business can customize its own approval,setup, and management processes and have multiple processes fordifferent kinds of users.

Multi-level delegation features also simplify individual usermanagement. Companies can assign the responsibility for maintaining useridentity data to the people closest to it. For example, individual userscan be allowed to: (1) add themselves to the user directory by fillingout customized forms, (2) modify personal or professional informationabout themselves (such as addresses, personal preferences, or namechanges), (3) change a piece of information in their identity profilesthat can determine their access rights, or (4) allow someone else to login as their temporary substitute while they are out of the office or onvacation. Likewise, any number of delegated administrators (both insideand outside the company) can be given the authority to: (1) create anddelete users in the user directory, (2) approve a change that a user hasrequested, and (3) change the information about users to grant or revokeservices. An administrator can be delegated any allowed degree ofresponsibility. For example, a company might decide that only IT staffcan assign application access, whereas department managers can add newusers.

External legacy systems—such as human resource management systems—can beallowed to trigger automated workflows. With this feature, a new usercould be created, a departing employee could be deleted, or certainservices could be granted or revoked following an event change in anexternal system.

The Identity System also provides for self-registration. User Manager 42enables an individual to self-register in situations when it'sappropriate. User Manager 42 then authorizes delegated administrators toverify the individual's information and approve or deny the registrationrequests. In one embodiment, self-registration is defined by acustomizable, multi-step workflow. This concept is discussed below.

Group Manager 44 allows entities to create, delete and manage groups ofusers who need identical access privileges to a specific resource or setof resources. Managing and controlling privileges for a group of relatedpeople—rather than handling their needs individually—yield valuableeconomies of scale. Group Manager 44 meets a wide range of e-businessneeds: easy creation, maintenance, and deletion of permanent and ad hocgroups of users who may be allowed or denied access to particularresources; modification and adaptation of groups and their accessprivileges with minimal disruption to the directory server's underlyingschema; efficient addition and deletion of users from establishedgroups; and delegation of administrative responsibility for groupmembership and subscription requests and approvals.

With Group Manager 44, companies (or other entities) can allowindividual users to do the following: (1) self-subscribe to andunsubscribe from groups, (2) view the groups that they are eligible tojoin or have joined, and (3) request subscription to groups that haveaccess to the applications they need. Multi-step workflows can thendefine which users must obtain approval before being added to a groupand which can be added instantly. Group Manager 44 also lets companiesform dynamic groups specified by an LDAP filter. The ability to createand use dynamic groups is extremely valuable because it eliminates theadministrative headache of continually keeping individual, staticmembership up-to-date. With dynamic group management features, users canbe automatically added or removed if they meet the criteria specified bythe LDAP filter. Dynamic groups also greatly enhance security sincechanges in user identities that disqualify someone from membership in agroup are automatically reflected in the dynamic group membership.

The third application in the Identity System, Organization Manager 46,streamlines the management of large numbers of organizations within ane-business network, including partners, suppliers, or even majorinternal organizations such as sales offices and business units. Certaininfrastructure security and management operations are best handled—orcan only be handled—at the highest organizational unit level rather thanat the individual or group level. Like User Manager and Group Manager,this application relies on multi-step workflow and delegationcapabilities. Organization Manager handles the following administrativetasks: (1) organization lifecycle management, whereby companies cancreate, register, and delete organizations in their systems usingcustomizable workflows; (2) maintenance of organization profiles on anattribute-by-attribute basis through self-service, delegatedadministration and system-initiated activities; (3) organizationself-registration, whereby organizations such as business partners,customers and suppliers can self-generate a request to be added to thee-business network; and (4) creation of reusable rules and processesthrough multi-step workflows.

The system of FIG. 1 can be used to protect a web site, network,Intranet, Extranet, etc. To understand how the system of FIG. 1 protectsa web site (or other structure), it is important to understand theoperation of unprotected web sites. In a typical unprotected web site,end users cause their browsers to send a request to a Web Server. Therequest is usually an HTTP request, which includes a URL. The Web Serverthen translates, or maps, the URL into a file system's name space andlocates the matching resource. The resource is then returned to thebrowser.

With the system of FIG. 1 deployed, Web Server 18 (enabled by Web Gate28, Access Server 34, and Directory Server 36) can make informeddecisions based on default and/or specific rules about whether to returnrequested resources to an end user. The rules are evaluated based on theend user's identity profile, which is managed by the Identity System. Inone embodiment of the present invention, the general method proceeds asfollows. An end user enters a URL or an identification of a requestedresource residing in a protected policy domain. The user's browser sendsthe URL as part of an HTTP request to Web Server 18. Web Gate 28intercepts the request. If the end user has not already beenauthenticated, Web Gate 28 causes Web Server 18 to issue a challenge tothe browser for log-on information. The received log-on information isthen passed back to Web Server 18 and on to Web Gate 28.

Web Gate 28 in turn makes an authentication request to Access Server 34,which determines whether the user's supplied log-on information isauthentic or not. Access Server 34 performs the authentication byaccessing attributes of the user's identity profile and the resource'sauthentication criteria stored on Directory Server 36. If the user'ssupplied log-on information satisfies the authentication criteria, theprocess flows as described below; otherwise, the end user is notifiedthat access to the requested resource is denied and the process halts.After authenticating the user, Web Gate 28 queries Access Server 34about whether the user is authorized to access the resource requested.Access Server 34 in turn queries Directory Server 36 for the appropriateauthorization criteria for the requested resource. Access Server 34retrieves the authorization criteria for the resource and answers WebGate 28's authorization query, based on the resource's authorizationcriteria and the user's identity profile. If the user is authorized, theuser is granted access to the resource; otherwise, the user's request isdenied. Various alternatives to the above described flow are also withinthe spirit and scope of the present invention.

Authentication and Authorization decisions are based on policy domainsand policies. A policy domain is a logical grouping of Web Server hostID's, host names, URL prefixes, and rules. Host names and URL prefixesspecify the course-grain portion of the web name space a given policydomain protects. Rules specify the conditions in which access torequested resources is allowed or denied, and to which end users theseconditions apply. Policy domains contain two levels of rules: firstlevel default rules and second level rules contained in policies. Firstlevel default rules apply to any resource in a policy domain notassociated with a policy.

A policy is a grouping of a URL pattern, resource type, operation type(such as a request method), and policy rules. These policy rules are thesecond level rules described above. There are two levels of rulesavailable (first and second levels) for authentication, authorization,and auditing. Policies are always attached to a policy domain andspecify the fine-grain portion of a web name space that a policyprotects. In practice, the host names and URL prefixes from the policy'spolicy domain are logically concatenated with the policy's URL pattern.The resulting overall pattern is compared to the incoming URL. If thereis a match, then the policy's various rules are evaluated to determinewhether the request should be allowed or denied; if there is not amatch, then default policy domain rules are used.

The system of FIG. 1 is scalable. There can be many Web Servers, manyAccess Servers, and many Identity Servers. In one embodiment, DirectoryServer 36 is an LDAP Directory Server and communicates with otherservers/modules using LDAP over SSL. In other embodiments, DirectoryServer 36 can implement other protocols or can be other types of datarepositories (e.g. SQL, etc.). Many variations of the system of FIG. 1can be used with the present invention. For example, instead ofaccessing the system with a web browser, an API can be used.Alternatively, portions of functionality of the present invention cab beseparated into independent programs that can be accessed with a URL.

FIG. 2 illustrates a high level block diagram of a computer system thatcan be used for the components of the present invention. The computersystem in FIG. 2 includes processor unit 50 and main memory 52.Processor unit 50 may contain a single microprocessor, or may contain aplurality of microprocessors for configuring the computer system as amulti-processor system. Main memory 52 stores, in part, instructions anddata for execution by processor unit 50. If the system of the presentinvention is wholly or partially implemented in software, main memory 52can store the executable code when in operation. Main memory 52 mayinclude banks of dynamic random access memory (DRAM) as well as highspeed cache memory.

The system of FIG. 2 further includes mass storage device 54, peripheraldevice(s) 56, user input device(s) 60, portable storage medium drive(s)62, graphics subsystem 64, and output display 66. For purposes ofsimplicity, the components shown in FIG. 2 are depicted as beingconnected via a single bus 68. However, the components may be connectedthrough one or more data transport means. For example, processor unit 50and main memory 52 may be connected via a local microprocessor bus, andthe mass storage device 54, peripheral device(s) 56, portable storagemedium drive(s) 62, and graphics subsystem 64 may be connected via oneor more input/output (I/O) buses. Mass storage device 54, which may beimplemented with a magnetic disk drive or an optical disk drive, is anon-volatile storage device for storing data and instructions for use byprocessor unit 50. In one embodiment, mass storage device 54 stores thesystem software for implementing the present invention for purposes ofloading to main memory 52.

Portable storage medium drive 62 operates in conjunction with a portablenon-volatile storage medium, such as a floppy disk, to input and outputdata and code to and from the computer system of FIG. 2. In oneembodiment, the system software for implementing the present inventionis stored on such a portable medium, and is input to the computer systemvia the portable storage medium drive 62. Peripheral device(s) 56 mayinclude any type of computer support device, such as an input/output(I/O) interface, to add additional functionality to the computer system.For example, peripheral device(s) 56 may include a network interface forconnecting the computer system to a network, a modem, a router, etc.

User input device(s) 60 provide a portion of a user interface. Userinput device(s) 60 may include an alpha-numeric keypad for inputtingalpha-numeric and other information, or a pointing device, such as amouse, a trackball, stylus, or cursor direction keys. In order todisplay textual and graphical information, the computer system of FIG. 2includes graphics subsystem 64 and output display 66. Output display 66may include a cathode ray tube (CRT) display, liquid crystal display(LCD) or other suitable display device. Graphics subsystem 64 receivestextual and graphical information, and processes the information foroutput to display 66. Additionally, the system of FIG. 2 includes outputdevices 58. Examples of suitable output devices include speakers,printers, network interfaces, monitors, etc.

The components contained in the computer system of FIG. 2 are thosetypically found in computer systems suitable for use with the presentinvention, and are intended to represent a broad category of suchcomputer components that are well known in the art. Thus, the computersystem of FIG. 2 can be a personal computer, handheld computing device,Internet-enabled telephone, workstation, server, minicomputer, mainframecomputer, or any other computing device. The computer can also includedifferent bus configurations, networked platforms, multi-processorplatforms, etc. Various operating systems can be used including Unix,Linux, Windows, Macintosh OS, Palm OS, and other suitable operatingsystems.

FIG. 1 shows Web Server 20 being in communication with Identity Server40, via Web Pass 38. In one embodiment of the present invention, data istransferred between a web server and Identity Server 40 using blob datatransfers. One version of a blob data transfer contains the followingfields: (1) Overall Message Length—containing the number of bytes in theoverall blob data transfer; (2) Protocol Version—identifying theprotocol version of the blob data transfer; (3) SequenceNumber—identifying the position of the blob data transfer in a set ofblob data transfers; (4) Opcode—identifying the operation to beperformed with the blob data; and (5) Actual Message—containing the dataintended to be transferred for an associated application.

Possible opcodes that can be employed in the blob data transfer opcodefield include: (1) indicating that the blob data transfer is to beemployed by Identity Server 40; and (2) indicating that this data is tobe employed by a Web Server 20 in a configuration process. In oneembodiment of the present invention, the Actual Message is presented ina key-val-map format having the following syntax:

{length}key=val{length}key=val{length}key=val . . .

FIG. 1 shows Identity Server 40 communicating with Directory Server 36.The system can also support multiple directory servers (or other typesof data stores). FIG. 3 depicts an exemplar architecture for supportingmultiple directory servers based on the notion of abstracting databaseobjects and separating database clients from the actual database accessfunctionalities. By doing so, clients can be implemented in a databaseindependent fashion. Database manager 120 is the central place where alldatabase clients interface to access the data stores. In one embodiment,there is one database manager 120 for all clients.

When database manager 120 starts, it will read the directory serverconfiguration file(s) and insert corresponding profile and agent objectsto its internal tables for later reference. FIG. 3 shows databasemanager 120 in communication with profiles 122, 124, 126 and 128. Eachprofile corresponds to an agent. For example, profile 122 corresponds toagent 130, profile 124 corresponds to agent 132, profile 126 correspondsto agent 134, and profile 128 corresponds to agent 136. Each agent isassociated with a connection manager and a data store. For example,agent 130 is associated with connection manager 140 and data store 36a.Agent 132 is associated with connection manager 142 and data store 36 b.Agent 134 is associated with connection manager 144 and data store 36 c.Agent 136 is associated with connection manager 146 and data store 36 d.In one embodiment, each of the data stores are LDAP directory serverswith LDAP directories. In other embodiments, one or more of the datastores are LDAP directories and one or more of the data stores are othertypes of data stores (e.g. SQL servers) or others. In furtherembodiments, none of the data stores are LDAP directories.

Each of the profiles represents configuration information for theassociated data store. This includes, among other things, host name,port number, name space, login name (also called an ID), password, andsupport operations. There is a one-to-one mapping between a profile andagent. One of the most important methods exposed by a profile is themethod “IsSupported.” Database manager 120 calls this method todetermine whether a proposed data store access request can be performedby the data store associated with the profile. The method will return afalse if any of the following are met: (1) the configured profile is notenabled, (2) the database type (e.g. LDAP) of the access request is notthe same as the data store for that profile, (3) the type of operationis not supported by the data store, (4) the target user identificationhas no overlap with the profile's (and data store's) name space, or (5)the target's user identification is above the profile's (and datastore's) name space and the target operation is not SEARCH.

The Agent is the object responsible for all the interaction with thedata stores. Each agent includes a Connection Manager, which maintainsthe connection with the associated data store. The agents areresponsible for converting the native data store entries to the formatexpected by the application.

Database clients interact with database manager 120 to accomplish anydatabase operation. Database manager 120, in turn, interacts with theprofiles to determine which data stores can service the databaseoperation. A database proxy 154 is created to service a particulardatabase request. Database proxy 154 communicates directly to the Agentsfor the data stores that can service the request. The database clientthen interacts directly with proxy 154 to access the appropriate datastores. Thus, database proxy 154 is a dynamic object which databasemanager 120 creates every time a database request is made.

Database proxy 154 encapsulates the supporting agent objects for theparticular operation. It also acts as a storage area where inputparameters and output results are stored. Each database proxy objectexposes its methods and input parameters. These parameters includesearch base, object class, auxiliary class, filter, search scope,attributes and entry. After a database client sets all the parameters,the client calls the execute method of the proxy to invoke the databaseoperation. The client then calls the database proxy GetResults method toretrieve the operations results.

FIG. 3 shows database proxy 154 in dotted lines to indicate that it iscreated for a particular request. When the request is completed, theproxy is terminated. The proxy communicates directly with theappropriate agents for accessing the appropriate data stores. FIG. 3shows one example of a database proxy being created to access data indata stores 36 a and 36 b.

FIG. 4 is a flowchart describing the process for performing a dataoperation when one or more data stores are supported. In step 170,application 150 calls baseDB 152. Application 150 can be User Manager42, Group Manager 44, Organization Manager 46, etc. BaseDB 152 is anobject used by the application to access a data store. In oneembodiment, baseDB 152 includes sub-objects. There is one sub-object foreach application.

BaseDB 152 calls database manager 120 in step 172, indicating theoperation and search base for the data operation. In step 174, databasemanager 120 consults each of the profiles to determine which data storecan support the operation. That is, each data store is a particular typeof data store, has its own set of operations that it supports, and hasits own search base that it supports. In step 176, each of the profilesindicates whether they can service the request based on whether theabove mentioned criteria match the request. In step 178, databasemanager 120 creates proxy 154. Note that proxy 154 is for this oneparticular request and will be terminated at the end of the request.

In one example, it is assumed that profiles 122 and 124 indicate thattheir associated data stores can service the operation, but profiles 126and 128 report that their associated data stores cannot service theoperation. Therefore, proxy 154 will be set up to communicate withagents 130 and 132, as depicted in FIG. 3.

In step 180, proxy 154 is provided with pointers to the appropriateagents, as depicted in FIG. 3. In step 182, baseDB 152 calls proxy 154to indicate the one or more database access operations requested. Instep 184, proxy 154 communicates the appropriate request information tothe appropriate agents. In step 186, the appropriate agents performappropriate database accesses using their respective connectionmanagers. In step 188, the agents convert the data from the nativeformat of the data store to the format expected by application 150. Insome embodiments, conversion is not necessary. In step 190, each of theagents returns the results to proxy 154. In step 192, proxy 154 combinesthe results from the various data stores into one set of results. In oneembodiment, step 192 is skipped and the results are not combined. Instep 194, the results are then provided to userDB 152. In step 196,database proxy 154 is terminated. In step 198, the results are reportedback to application 150. In this manner, application 150 is insulatedfrom the data access layer (which includes database proxy, databasemanager and any other components below the database manager 120, asdepicted in FIG. 3). Note that when the access to the data storesincludes a read operation, the reporting of results will likely includethe data that was read. If the access was for a write operation, thereporting of results can include a confirmation of the write operationor a reporting of the data that was written. In some embodiments, thefailure to notify of an error during a write operation can be consideredas reporting a successful result of the write operation.

The basic unit of information store in a directory is called an entry,which is a collection of information about an object. The information inan entry often describes a real-world object such as a person, but thisis not required. A typical directory includes many entries thatcorrespond to people, departments, servers, printers, and otherreal-world objects in the organization served by the directory.

An entry is composed of a set of attributes, each of which describes oneparticular trait of the object. Each attribute has a type, one or morevalues, and associated access criteria. The type describes the kind ofinformation contained in the attribute, and the value contains theactual data.

An entry in the directory has a set of attribute that are required and aset of attribute that are allowed. For example, an entry describing aperson is required to have a cn (common name) attribute and an sn(surname) attribute. One example of an allowed attribute may be anickname. Any attribute not explicitly required or allowed isprohibited. The collections of all information about required andallowed attributes are called the directory schemas.

Examples of attributes stored in a user identity profile include: firstname, middle name, last name, title, email address, telephone number,fax number, mobile telephone number, pager number, pager email address,identification of work facility, building number, floor number, mailingaddress, room number, mail stop, manager, direct reports, administrator,organization that the user works for, department number, department URL,skills, projects currently working on, past projects, home telephone,home address, birthday, previous employers and anything else desired tobe stored by an administrator. Examples of attributes stored in a groupidentity profile include: owner, name, description, static members,dynamic member rule, subscription policies, etc. Examples of attributesstored in a user organization identity profile include: owner, name,description, business category, address, country, etc. In otherembodiments, less or more than the above-listed information is stored.

FIG. 5 depicts an exemplar directory tree that can be stored onDirectory Server 36. Each node on the tree is an entry in the directorystructure that includes an identity profile. In one embodiment, theentity can be a user, group or organization. Node 230 is the highestnode on the tree and represents an entity responsible for the directorystructure. In one example, an entity may set up an Extranet and grantExtranet access to many different companies. The entity setting up theExtranet is node 230. Each of the companies with Extranet access wouldhave a node at a level below node 230. For example, company A (node 232)and company B (node 234) are directly below node 230. Each company maybe broken up into organizations. The organizations could be departmentsin the company or logical groups to help manage the users. For example,FIG. 5 shows company A broken up into two organizations: organization Awith node 236 and organization B with node 238. Company B is shown to bebroken up into two organizations: organization C with node 240 andorganization D with node 242. FIG. 5 shows organization A having two endusers: employee 1 with node 250 and employee 2 with node 252.Organization B is shown with two end users: employee 3 with node 254 andemployee 4 with node 256. Organization C is shown with two end users:employee 5 with node 258 and employee 6 with node 260. Organization D isshown with two end users: employee 7 with node 262 and employee 8 withnode 264.

Each entity has a distinguished name (DN), which uniquely identifies thenode. In one embodiment, each entry also has a relative name, which isdifferent from all other relevant names on the same level of thehierarchy. In one implementation, the distinguished name (DN) comprisesa union of the relative names up the tree through to the entity. Forexample, the distinguished name of employee 1 (node 250) is DN=CN=Empl,OU=OrgA, O=CompanyA, DC=entity,

Where:

DC=Domain Component

O=Organization

OU=Organizational Unit

CN=common name.

FIG. 5 shows a hierarchical tree. Some organizations employ fat or flattrees for ease of maintenance. A flat directory tree is a directoryinformation tree that does not have any hierarchy. All of the nodes areleaf nodes (nodes without any child nodes). A fat directory tree is atree that has a large number of nodes at any given level in a directoryinformation tree. One advantage of a fat or flat tree is usermaintenance. For example, if an employee moves to a new group, the nodemust be moved to a new container if the tree is not flat or fat. Bymoving the node to a new container, the distinguished name for the nodechanges and all certificates become void. One drawback of flat or fattrees is that the organization loses the benefits of having a logicaldirectory, such as using the logical directory to determine who hasaccess to which nodes. To remedy this, the Identity System includespartition support for fat and flat tree directories using filters. Froma configuration page, an attribute can be configured to be accessible(read, modify, etc.,) based on a two part filter. The first component inthe filter identifies a top node in the directory. The filter will onlyapply to those entities at or below that top node. The second componentof the filter is an LDAP filter which defines who can access theattribute. This two component filter can be applied on an attribute byattribute basis.

There are many ways for an entity to access and use the Identity System.In one embodiment, the entity can access the Identity Systems servicesusing a browser. In other embodiments, XML documents and API's can beused to access the services of the Identity System. For example, anentity can use a browser by pointing the browser to Identity Server 40.The user will then be provided with a login page to enter the user's ID,password, type of user and application requested (optional). Uponfilling out that information, the user will be authenticated andauthorized (by the Access System) to use the Identity System, asdescribed below. Alternatively, the Access System can be bypassed (orthere may be no Access System) and the Identity System authenticates theuser.

FIG. 6 is a flowchart, which describes a process of entering theIdentity System. In step 300 the user requests access to the IdentitySystem. For example, the user can point a browser to Identity Server 40.After being provided with a login page, the user fills in the logininformation, and that information is sent back to the system. If thereis an Access System, as described below, then the user will beauthenticated and authorized by the Access System. After authorization,the request will be redirected from the Access System to Web Server 20(see FIG. 1). If there is no Access System, or if the Access System isnot providing authentication and/or authorization services, the browsercan initially be pointed directly to Web Server 20. Other alternativescan also be supported. Upon the request being sent to Web Server 20, therequest will be intercepted by Web Pass 38 in step 302. In step 304, itis determined whether there is an Identity System UidCookie. TheUidCookie is stored on the user's system and can be provided with therequest.

FIG. 7 depicts an example of UidCookie 360. A cookie is information thata web page, system or resource stores on a client device. In someembodiments it can represent information about the user, regardless ofwhere it is stored and in what format. This cookie includes at leastthree components: Uid 362, IP address 364 and timestamp 366. Uid 362stores the user identification for the entity trying to access theIdentity System. IP address 364 is the IP address of the machine thatthe user is currently using. Timestamp 366 indicates the time that thecookie was initially created. Some embodiments use timestamp 366 tolimit the life of the cookie. Some embodiments do not use timestamp 366.In one embodiment, the cookie is encrypted.

If, in step 304, it is determined that a valid UidCookie exists, then,in step 306, the user is given access to the Identity System applicationrequested. The Uid from the cookie is used as the user identificationupon entering the Identity System. If the valid UidCookie does not exist(step 304), then it is determined whether a user identification wasreceived in a header variable. In one embodiment using an integratedAccess and Identity System, a user's request to access the IdentitySystem will be authenticated and authorized by the Access System. Afterauthentication and/or authorization, the HTTP request will be redirectedto the Identity System. This redirected HTTP request will include aheader variable labeled as “userAuth.” The data associated with thisheader variable will indicate the user identification for the user. Ifthe user identification was in a header variable then a UidCookie iscreated in step 310 and that user identification is added to theUidCookie. Subsequent to step 310, the user is provided access to theIdentity System in step 306.

If the user identification was not in a header variable, then the systemattempts to authenticate the user in step 312. That is, the user's username and password provided by the login page are used to accessDirectory Server 36 in order to authenticate the user. More informationabout authentication is described below. If the user is properlyauthenticated, then a UidCookie is created in step 316. During anauthentication process, the user's ID and password were used to accessthe user's identity profile in Directory Server 36. That identityprofile will include a user identification, which is added to theUidCookie in step 316. In one embodiment, the user identification is theuser's distinguished name. In step 318, the user is provided access tothe Identity System. If the user was not properly authenticated, thenthe user is denied access to the Identity System in step 320.

As discussed above, when requesting access to the Identity System, theuser selects which of the Identity System applications (User Manager 42,Group Manager 44, Organization Manager 46 or Publisher 48) the userwishes to access. In one embodiment, the login page for the IdentitySystem will request an ID, a password, an indication of the applicationrequested and an indication of a role (discussed below). Afterappropriate authentication and authorization, the user is provided witha home page for User Manager 42, a home page for Group Manager 44, ahome page for Organization Manager 46 or a home page for Publisher 48,depending upon which application was selected by the user. From the homepage, the user can access the various services of the application.

FIG. 8 graphically depicts the various services provided by User Manager42. Each of these services can be accessed from the User Manager homepage. For example, in one embodiment, the home page will include anapplication selector 402, search tool 404, My Identity tab 406, CreateUser Identity tab 408, Deactivate User Identity tab 410, SubstituteRights tab 412, Requests tab 414 and Configure tab 416. Applicationselector 402 lets the user change applications from the User Manager toeither the Group Manager, Object Manager or Publisher. In oneembodiment, application selector 402 is a drop down menu. Search tool404 enables a user to provide search information in order to search thedirectory for a set of one or more user identity profiles.

By selecting My Identity tab 406, a user is provided with theinformation stored in that user's identity profile. Create User Identitytab 408 allows a user with the appropriate privileges to create a newuser identity profile (e.g. with a workflow). Deactivate User Identitytab 410 allows a user with proper privileges to remove an identityprofile from the directory. Substitute Rights tab 412 allows the user toindicate who can proxy that user and allows the user to be a proxy forsomeone else. Request tab 414 allows a user to monitor workflows thatare in progress or recently completed. Depending on the user'sprivileges, by selecting request tab 414, the user can see all workflowsthat involve that user, that are started by that user, that affect thatuser or that the user has privileges to view. Request tab 414 willindicate workflows for which there is an outstanding action to be doneby the current user. The user can select that workflow and perform thetask.

Configure tab 416 allows a user to configure various options for UserManger 42. The user must have sufficient privileges to access Configuretab 416. The user can perform attribute access control, delegateadministration, define workflows and set the search base. Attributeaccess control includes controlling who has view and modify permissionsfor each attribute. Attributes can be set at any and all levels in anorganization. The configuration also allows the specification of ane-mail notification list when a change to an attribute is requested.Delegation administration includes delegating administrative tasks tolocal administrators. An entity can choose what rights to delegate, whomto delegate to, and the scope to delegate. Workflow definition includesdefining workflows for a particular organization, defining who will beresponsible for the workflow actions and/or defining who will bereceiving notifications for the workflow actions. Setting the searchbase includes setting the search base for a particular organization,person or set of persons. This will localize access to ensure security.

FIG. 9 depicts the various services provided by Group Manager 44. Oncean entity is at the Group Manager home page, the entity can access theapplication selector 430, search tool 432, My Groups tab 434, CreateGroups tab 436, Request tab 438 and Configure tab 440. My Groups tab 434indicates the groups of which the entity is a member. By selecting anyof the groups identified by My Groups tab 434 or Search Tool 432, theuser will be provided with the identity profile page for that particulargroup. From the profile page, the group can be modified or deleted.Create groups tab 436 allows the user to create a new group. Request tab438 provides the user with access to currently pending and recentlyfinished workflows that involve groups. Configure tab 440 allows theuser to configure various information about groups in the Group Manager.While viewing the identity profile for a group, the entity can modifythat profile if the entity has appropriate privileges.

Configure tab 440 allows an entity to provide attribute access control,delegate rights, define workflows and expand dynamic groups. Attributeaccess control includes controlling who has view and modify permissionsfor each attribute in group identity profiles. Additionally, e-mailnotification lists can be created which are used to notify entities whena change to an attribute is requested. Administration tasks can bedelegated to local administrators. An entity can choose what rights todelegate, who to delegate to, and what the scope of the delegation is.Workflow definition includes defining the workflows for a particulargroup. This includes defining who is responsible for the workflowactions and who will be receiving notifications for workflow actions.Expanding dynamic groups will be discussed below. Note that some of thetabs and services may not be available to all entities, depending uponthe privileges of those entities.

FIG. 10 depicts the services provided by Organization Manager 46.Organization manager 46 provides functionality to create, modify, deleteand manage organizational objects. From the home page for OrganizationManager 46, a user is provided with an application selector 442, searchtool 444, Create Organizational Profile tab 446, Request tab 448 andConfigure tab 450. Application selector 442 allows the user to select adifferent application to access. Search tool 444 provides a user withthe ability to enter search terms in order to search for one or moreorganizational objects. After performing a search, the user will beprovided with a list of organizational objects meeting the searchrequirements. User can select any of these objects to view, modify ordelete, if the user has sufficient privileges.

Create Organizational Profile tab 446 allows a user to create neworganizational objects, if the user has sufficient privileges. Requesttab 448 allows a user to access pending workflows and workflows thathave recently been finished that relate to organizational objects.Access to Request tab 448 can be restricted and/or limited dependingupon users privileges. If a user has a step to perform for a workflow,it will be indicated by Request tab 448.

Configure tab 450 allows the entity to perform attribute access control,delegate administration, define workflows and define container limits.Attribute access control includes controlling who has view and modifypermissions for each attribute of an organizational identity profile. Inaddition, an entity can specify an e-mail notification list when achange to an attribute is requested. Delegating administration includesdelegating administrative tasks to local administrators. An entity canchoose what rights to delegate, whom to delegate to, and the scope ofthe delegation. Workflow definition includes defining the workflows fora particular organization, including who will be responsible for theworkflow actions and who will be receiving notifications for theworkflow. Container limits includes controlling how many objects can becreated in an organization. This would also include defining who will bereceiving notifications that a container limit has been met, has beenviolated or is close to being met.

As discussed above, user identity profiles, group identity profiles andorganization identity profiles all contain attributes. In the variousservices provided by User Manager, Group Manager and OrganizationManager, users with the appropriate privileges can configure the rightsto access each of the attributes. FIG. 11 is a flowchart describing anexemplar process for configuring rights to access attributes. In step500, a user requests to configure rights. For example, the user mayselect any of the configuration tabs described above. In step 502, it isdetermined whether that user is allowed to configure rights to accessattributes. If no, the user is not given access to configure any accessrights. If the user is allowed to configure access rights, then in step504 the user selects which rights to configure. In one embodiment, thereare choices of three rights: read, write and notify. The notify right isassociated with persons who are notified when an attribute changes.

In step 506, the particular attributes are selected. For example, in theUser Manager, an entity can select the user's name, the user's telephonenumber, etc. In step 508, the domain is selected. The domain applies tothe portion of the directory tree that is affected by the configuration.That is, only identity profiles in the specified domain are beingaffected by the current process being performed. In step 510, the usersare identified whose rights to access the selected attributes are beingaffected. The users can be identified by identifying specific names ofusers, a group, a class of users, and an owner of the identify profile,or an LDAP filter.

Based on the configuration from the process of FIG. 11, when a useraccesses an identity profile, the user's ability to view or modify thatprofile will be restricted. FIG. 12 is a flowchart describing theprocess for accessing an identity profile and viewing attributes. Instep 530, the user's browser sends a request to access attributes of atarget directory entry. Alternatively, the user can attempt to accessattributes via means different than a browser (e.g. XML document). Instep 532, the request is received by User Manager 42, Group Manager 44or Organization Manager 46. In step 530, the appropriate manageraccesses the target profile and a source profile on directory server 36.The target profile is the identity profile sought to be viewed. Thesource profile is the identity profile of the user attempting to accessthe target profile. In step 536, the manager determines the accessrights for each of the attributes for the target profile. In step 538,the manager passes the result information for the allowed attributes tothe browser. That is, the manager will determine which attributes theuser may view based on the access information (e.g. from FIG. 11) andthe user's identity profile. All of those attributes that can be viewedare displayed in step 540. Those attributes that can be modified willinclude a “modify” button next to the attribute. Selecting a modifybutton will allow the user to modify the attribute (e.g. change theuser's telephone number, etc.).

In many implementations of the system of FIG. 1, there is a singleinstance of the system that will be running against the directory serverthat holds all the partners/suppliers/customer information in ahierarchical tree. A given user that belongs to one of these partners(or other entities) should be restricted to accessing the informationthat only pertains to that user's company (or other organization). Sodifferent users will have access to a different logical directory.

To support segmentation of the directory tree, the system employs apolicy based search base. As part of the configuration, an administratorcan set up search bases. A particular search base includes twocomponents. The first component includes identifying to whom the searchbase pertains. The first component can name a single person, multiplepersons, a domain in the directory or an LDAP filter. The secondcomponent of the search base is to indicate the search base itself. Inone embodiment, indicating the search base includes identifying a nodein the directory tree. That node and all nodes below that node in thedirectory tree will be part of the search base. In some embodiments, thesearch base can be associated with an object class.

Once the search base is set up, anyone who the search base pertains tocan only access nodes within the search base. Thus, if a company employsan Extranet and two suppliers have accessed the Extranet, one suppliercan be prevented from seeing the profiles about the other supplier usingthis search base feature. That is, persons in company A can beconfigured to only have a search base that includes company A, andpersons in company B can be configured to only have a search base thatincludes company B.

As discussed above, when an entity logs into the Identity System, theentity indicates the entity's role. There are at least six roles: SystemAdministrator, Master Identity Administrator, Master AccessAdministrator, Delegated Access Administrator, Delegated IdentityAdministrator and End User. The System Administrator can perform allAccess System configuration tasks and all Identity System configurationtasks. The Master Identity Administrator can configure access controls,attribute access controls, new user services, workflow definitions,setting the search base, delegating rights, expanding dynamic groups,and setting container limits. The Master Access Administrator canconfigure a web gate, configure an access server, create hostidentifiers, configure users, set-up policies and policy domains, anddelegate rights. The Delegated Identity Administrator is anadministrator who has been delegated rights from the Master IdentityAdministrator. The Delegated Access Administrator can be delegatedrights from a Master Access Administrator. An End User cannot performconfiguration functions. There can also be a delegated admin who cancreate/delete users, add/remove users to/from groups, process workflowsteps, etc.

A delegated administrator receives rights that were delegated by amaster administrator or another delegated administrator. FIG. 13 depictsthe process of delegating rights to a delegated administrator. In step580, a request is made to delegate rights. In one embodiment, thisrequest is made by accessing the configure tabs described above. In step582, it is determined whether the user requesting to delegate is allowedto delegate. A Master Identity Administrator is allowed to delegate anda Delegated Administrator can delegate if that Delegated Administratorhas been provided with delegation rights. If the user is not able todelegate rights, then the process is not completed. If the user candelegate rights, then in step 584, the rights to be delegated areselected. In step 586, it is determined whether the person receiving thedelegated right can further delegate that right. That is, can aDelegated Administrator receiving the right then delegate that right toanother Delegated Administrator. In step 588, the attributes associatedwith a delegated right are selected. In step 590, a domain is specified.The domain indicates the area of the directory tree that will beaffected by the delegation of rights. Only profiles within the domainare subject to the delegation of rights. In step 592, the DelegatedAdministrators who will receive the rights being configured areidentified. The administrators can be identified by indicating aparticular name (or other identification), a group or an LDAP ruleindicating who should receive the rights.

One right that an administrator has and which can be delegated to aDelegated Administrator is the proxy right. The proxy right for person Aallows person A to choose another person (e.g. person B) to be a proxyfor person A during a period of time. For example, if a DelegatedAdministrator (or other administrator) is going on vacation, or willotherwise be unavailable to perform its administrative duties, thatDelegated Administrator can identify another person (or persons) who canbe a proxy for that Delegated Administrator. While person B is being aproxy for person A, person B has all the rights and privileges of personA within the Identity System. Person B does not have the rights ofperson A in the Access System. Thus, the Identity System will see personB as person A, but the Access System will see person B as person B.

FIG. 14 is a flowchart describing the process for enabling others to bea proxy. The process of FIG. 14 is performed in Substitute Rights tab412 in the User Manager. In one embodiment, only those entities who areDelegated Administrators or Master Administrators can perform theprocess of FIG. 14. In another embodiment, any user can choose to beproxied and be a proxy. In step 640, the administrator will request toenable a proxy. In one embodiment, this includes accessing theSubstitute Rights tab 412. Substitute rights tab 412 will provide a listof persons who have been selected for potential proxies.

In step 644, the administrator can search for more persons to be on thelist of potential proxies. In one embodiment, step 644 includesproviding a search tool for a user to search for users. A list ofidentified users is then depicted on the substitute rights tab. Next toeach user's name is a check box. In step 646, the user can select any ofthe users for proxy by selecting the check box. Once a user has beenselected for proxy, then that user can be a proxy for the administratorperforming the process of FIG. 14. However, the user will not become aproxy until the user enacts the proxy right. Thus, selecting the user instep 644 (e.g. checking the box next to the users name) only providesfor the potential for that user to be a proxy. In step 648, all of thepersons who have been selected for potential proxy are notified bye-mail, by a page/tab displaying proxy information or by other means.

FIG. 15 is a flowchart describing a process that is performed when auser becomes a proxy for another. In step 660, the system receives arequest from a user to become a proxy. In one embodiment, that includesa user selecting Substitute Rights tab 412. In that tab, the systemdisplays a list of all those persons for whom the user can be a proxy.Next to each name will be a check box. In step 662, the user selects theone person for which the user wants to be a proxy (hereinafter referredto as “the person being proxied”). For example, person A accessesSubstitute Rights tab 412 to be a proxy for person B, while person B ison vacation. Person B is the person being proxied. In step 664, the userenacts the proxy right. In one embodiment, step 664 includes selectingan “enact” button. When the user selects the “enact” button, the systemcreates a new cookie on the users' machine called originalUidCookie. TheoriginalUidCookie is in the same format as the UidCookie depicted inFIG. 7. In one embodiment, the originalUidCookie is an exact copy of theUidCookie currently on the user's machine.

In step 668, the UidCookie on the user's machine is edited by changingUid 362 to equal the user identification for the person being proxied.In step 670, the user now operates as the person being proxied in theIdentity System. Because the Uid in the Cookie identifies the personbeing proxied, the Identity System treats the user as the person beingproxied. However, the UidCookie is only used by the Identity System, soonly the Identity System treats the person as the person being proxied.The Access System uses a different cookie (described below), and theAccess System's cookie is not edited. Therefore, the Access Systemtreats the user as himself or herself and not as the person beingproxied. While being a proxy, the user has all the rights and privilegesas the person being proxied. In one embodiment, the process of FIG. 15is performed without the user providing or knowing the password for theperson being proxied and. therefore, without authenticating the passwordand ID for the person being proxied.

In one embodiment, step 670 includes receiving a request from the user(e.g. the entity who is the proxy) to access a service of the IdentitySystem. In response, the system will access the Uid in the cookie, anduse that Uid to access attributes, group memberships and organizationsmemberships for the identity profile of the person being proxied. Basedon those attributes, the user will or will not be provided access to therequested service.

In step 672 of FIG. 15, the user de-enacts the proxy right. In oneembodiment, this is performed by accessing the substitute rights tab andclicking on a “de-enact” button. After de-enacting, the Uid from theoriginalUidCookie is inserted into the UidCookie in step 674. Editingthe UidCookie in step 674 thus reverts the user back to the rights andprivileges that the user originally had before the process of FIG. 15.In one embodiment, the originalUidCookie is deleted in step 674.

A lot of the tasks that are performed in the Identity System areaccomplished using workflows. A workflow is a predefined set of stepsthat perform a specific task, where information or tasks are passedbetween participants and programs according to a defined set of rules.One embodiment of the present invention supports the following types ofworkflows: create object; delete object; change the value of attributes;and certificate issuance, revocation and renewal. In one embodiment ofthe present invention, a user is required to create a workflow to createor delete an object, change the value of an attribute or implementcertificates. Workflows ensure that an organization's guidelines forperforming a task are met. Workflows can be defined in the User Manager,Group Manager or Organization Manager. A workflow can be used only inthe application (e.g. User Manager) in which it was created. Eachworkflow has two or more steps, including one to start the action andone to implement or commit it. Each step can contain an action, sende-mail notifications to selected persons and start the next step if itsentry conditions are satisfied. A workflow is associated with a portionof the directory tree. This allows an entity to have its organizationsand partners enforce different workflows. Workflows can be stored inDirectory Server 36.

Table 1 provides examples of different tasks that can be performed withworkflows in the appropriate applications:

TABLE 1 Application Workflow Tasks User Manager Create User Delete UserChange Attribute Certificate Enrollment Certificate Renewal CertificateRevocation Group Manager Create Group Delete Group Change Attribute Org.Manager Create Object Delete Object Change Attribute

Each workflow includes two or more steps. Each step can include one ormore actions. Table 2, below, provides examples of different actionsthat can be performed with various types of workflows:

TABLE 2 Workflow Type Actions Creating object Initiate Self RegistrationProvide Information Approval Provide Information and Approval ActivateCommit Error Report External Action Deleting object Initiate ChangeInformation Approval Change Approval Deactivate Commit Error ReportExternal Action Changing Attribute Request Approval Provide InformationProvide Information and Approval Commit Error Report External Action

Table 3 provides a description of the various actions:

TABLE 3 Action Description initiate This action initiates workflows.Required, option, and supplied attributes may be configured for thisaction. Based on the relevant data configured in the step, the actionwill compose a page for the user to fill in the required information andto add additional attributes for provisioning (supplied variables) if sodesired. Once the page is submitted, the workflow engine will triggerthe Change Attribute workflows for the supplied attributes. People whoare configured as a participant for this action and its correspondingworkflow will see the “Create Profile” or “Initiate Deactivate User”button. self_registration This action allows an e-user to fill in aregistration form and submit it for acceptance. The required informationwill be displayed on the page. It is envisioned that self-registrationwill be used before the user has access to an application. Therefore,the UI of this page will be designed without the context of anapplication and with credentials for authentication. request This actionmakes a request for change/add/delete attribute. People who areconfigured as a participant for this action and its correspondingworkflow will see the “Request to Modify” or “Request to Remove” buttonon the profile page (during “modify” mode). provide_info This action issimilar to initiate, in that it collects information from the user andtriggers other workflows, if necessary. It is treated as a differentaction from initiate for the following reasons: ∘Initiate is always thefirst action in the workflow. ∘Provide_info can occur at multiple placesin a workflow while initiate can not. ∘The people who can initiate theworkflow may be different from those who can provide intermediateinformation. Only the people configured as the participants for theinitiate action will see the “Create Profile” button. ∘Provide_info willtry to retrieve the required attributes to display the values to theuser. This allows the information setup in the previous steps or in thedirectory to be changed. change_info This action is identical inbehavior to provide_info. A different name is used because the namechange_info makes more sense in the case of deactivating. approval Thisaction can be configured with only the required attributes. At run time,the values of the required attributes will be presented to the user toget approval. No information is supposed to be changed. The only useraction allowed is to click on the button to indicate approve or reject.In other embodiments, a digital signature could be used to provide anonrepudiation approval. Provide_info and approval This action combinesthe provide_info and the approval into one action. In some situation,customers may want the people who can approve also to be able to provideor change the information if necessary. change_approval This action isidentical in behavior to provide_approval. A different name is given toreflect the nature of the action in the deactivating context. activateThis action enables the user to explicitly mark an entry ready. Untilthis action is performed, the user's entry has been marked as“PendingActivation.” Upon completing this action, the status will bechanged to “Activated.” Once “Activated,” this user entry may be usedfor authentication to the system. deactivate This action is thecounterpart of the activate action to mark an entry suspended. Untilthis action is performed, the user's entry has been marked as “Pendingfor Deactivation.” Upon completing this action, the status will bechanged to “Deactivated.” In both of these cases, this entry will not berecognized as an authorized user in the system. commit This actionwrites the information collected this far in the previous workflow stepsto the directory. Commit can be done multiple times. The location of thewrite is the user's permanent location as selected in the “initiate”step. error_report This action is to report for a background process.When a background process encounters a processing error, it has noproper way to report the error since there is no responsible person forthe action. The workflow definer can configure the failed path to thiserror_report step, so that the error can be designated to theresponsible individuals. external_action External action can be pluggedinto the workflow as a distinct step.

Workflows are created based on templates (forms) by users withsufficient privileges. In one embodiment, each template has at leastfour sections including a section for creating objects, deletingobjects, changing attributes and working with certificates. The templateprovides parameters that define how workflows can be created. Templatescan be edited in order to tailor the workflow definition processes. TheUser Manager, Group Manager and Organization Managers each have theirown template files and use those template files to control and definethe workflow definition process. In one embodiment, the template file isan XML document that defines a set of parameters for each of the actionsavailable to that particular workflow type. Table 4 describes thevarious parameters that are used in the template files:

TABLE 4 Parameter Description Sample Setting occurrence Indicates howmany times [1][n] this action may be used 1-action can be used within aworkflow. once. n-action can be used multiple times. useractionIndicates whether or not [true][false] the step is interactive.True-action requires user interaction. False-this is a background stepand requires no user interaction. forceCommit Indicates whether an[true][false] implicit commit takes True-implicit commit place for thisstep, even takes place. though this action is not a False-implicitcommit commit. An implicit does not take place. commit writes allcollected data to the specific target entry. pre_action Indicates thatthe current [list of actions] action can be specified if the previousstep's action is in this list. exit_condition Indicates the possible[list of exit conditions] results for the given action. For example:true: 1 false: 0 relevant_data Indicates which types of [list ofrelevant data} relevant data can be Can be any configured for this step.combination of Background steps do not Required, Optional, or containany relevant data. Supplied.

Below is a generic form of a template. In the left hand margin is aletter to identify each line of the template for explanation purposes:

Generic Template © Oblix, Inc., 2001 a <CompoundList ListName =“[workflow type]”> b <CompoundList ListName = “[action]”> c <SimpleList>d <NameValPair ParamName =”occurrence” Value= [value] /> e <NameValPairParamName =”useraction” Value= [value] /> f <NameValPair ParamName=”forceCommit” Value= [value] /> g </SimpleList> h <ValList ListName=“pre_action”> i <ValListMember Value = “[action]” j . . . k </ValList> l<ValNameList ListName= “exit_condition”> m <NameValPair ParamName =“true” Value=”0”/> n <NameValPair ParamName = “false” Value=”1”/> o</ValList> p <ValList ListName= “relevant_data”> q <ValListMember Value= “required”> r <ValListMember Value = “optional”> s <ValListMemberValue = “supplied”> t </ValList> u </CompoundList> [more definitions ofactions] v </CompoundList>

The first line labeled (a) indicates the workflow type, which includescreating an object, deleting an object, changing attribute orcertificates. Lines (b-u) define the parameters for one particularaction. One or more of the parameters described above are defined inlines (b-u) for one action. For example, line (d) puts a value into theoccurrence parameter, line (e) provides a value for a useraction andline (f) provides a value for forceCommit. Lines (h-k) provide thevarious pre-actions that have to occur before the particular action isperformed. Lines (l-o) provide exit conditions. While the generictemplate above shows line (b-u) for one particular action, a typicaltemplate would have parameters for many actions. One template is likelyto be used to create many workflows.

FIG. 16 is a flowchart providing an overview of the process for creatinga workflow. In step 700 a template is created and stored. In oneembodiment, the template can be created using a word processor. In step702, a workflow object is created. The workflow can be created using theUser Manager 42, Group Manager 44 or Organization Manager 46. In step704, the steps of the workflow are defined based on the template createdin step 700. In step 706, the workflow is stored. In step 708, theworkflow is performed. Additional workflows can be created by performingsteps 702-708 because once a template is created, it can be used tocreate many workflows.

FIG. 17 is a flowchart describing the steps of creating a template. Instep 730, each workflow type is added to the template file. In referenceto the generic template above, line (a) of the generic templateidentified the first workflow type. It is likely that the workflow typeswould include create object, delete object, change attributes andcertificates. In step 732, for each workflow type, actions are added.Code for one action is depicted above in the generic template. In step734, for each action the parameters are added. In one embodiment, one ormore domains can be specified for a template or for workflow types inthe template. If domains are specified, then the associated template orworkflow types only apply to workflows created for the specifieddomain(s).

FIG. 18 provides a flowchart for creating a workflow object (step 702 ofFIG. 16). In step 750, the appropriate manager (User, Group,Organization) receives a selection or indication to create a workflow.In step 754, it is determined whether the user is allowed to create theworkflow. If no, the process is completed. If yes, the system identifiesthe different types of workflows, objects, tasks and target domains forwhich the user can create a workflow (step 756). In step 758, the userselects the identification of the workflow to be created. Theidentification is just a unique name to identify the workflow. In step760, the user inputs a selection of the type of workflow based on theoptions from step 756. Step 760 includes choosing the task that theworkflow will perform. For example, in the User Manager, the possibletasks include create a user, delete a user, change attribute, etc., asdiscussed above.

In step 762, the user specifies the domain in the directory to associatewith the workflow. In one embodiment, specifying a domain limits theworkflow to only operate on target identity profiles that are in thedomain. In one implementation, the domain is specified by identifying anode in the directory. The domain includes the identified node and allnodes in the tree that are below the identified node. For example, if auser selects node 242 of FIG. 5, then the domain includes nodes 242, 262and 264. In one embodiment, a filter can be used so that the workflowcan be associated with a portion of a flat tree or hierarchical tree.The filter can be an LDAP filter or other type of filter for identifyinga set of entities.

FIG. 19 is a flowchart describing the process of defining steps for aworkflow being created. The process of FIG. 19 is performed based on thetemplate. In step 780, the system determines the possible actions thatcan be performed for this particular workflow based on the template.That is, the system reads the template and determines which actions canbe added. The actions that can be selected are added to a GUI in step782 and, in step 784, a selection from the GUI is made by the user. Instep 786, the system determines which types (required, optional,supplied) of attributes are available, based on the template. Theappropriate attributes and types of attributes are added to the GUI instep 788. For example, the various attributes can be selected asrequired, optional or supplied. If the template does not allow for thesupplied attribute, then that option will not be available on the GUI.

In step 790, the system receives a selection of the attributes and thetypes from the user. That is, the user will select which attributes areoptional, which attributes are required and which attributes aresupplied. An attribute is supplied if it is provided from anotherworkflow. In other embodiments, other types can be used. In step 792,the participants who can perform the current step being defined areidentified. They can be identified by naming them individually, naming agroup, or using an LDAP filter. In step 794, pre and post notificationsare specified. A pre-notification means that prior to the step beingperformed the following set of users are sent an e-mail (or other formof communication). Post notification means that after the step has beingcompleted the following individuals are sent an e-mail (or other form ofcommunication).

If there is another step in the workflow (step 796), then the methodloops to step 798; otherwise, the process of FIG. 19 is completed. Instep 798 the possible entry conditions are determined from the template.In step 800, these entry conditions are added to the GUI. In step 802, aselection of the entry conditions is made from the GUI. In step 804, thesystem determines if the previous step has a subflow. If so, the userhas an opportunity to indicate whether to prevent the initiation of thecurrent step until the subflow is completed. Determination of whetherthere is a subflow can be based on the template or based on the types ofdata in the previous step (e.g. is there supplied data). If there is asubflow (or multiple subflows), then indication of the subflow(s) isadded to the GUI in step 806. In step 808, the system receives anindication from the GUI whether the current step should wait for theprevious step's subflow(s) to complete. This indication to wait forsubflows is stored as a flag with the data for the workflow. After step808, the method continues at step 780.

In one alternative, each subflow (for a step that had multiple subflows)can be associated with a separate entry condition. In such anembodiment, the user can individually select whether to wait for eachsubflow

A subflow is a workflow that is initiated by another workflow. Theconcept of subflow was introduced and implemented to reduceadministrative work. If a workflow already exists to perform a task, anyother workflow that needs to perform that task should be able toleverage off the first workflow. When creating a workflow, an indicationthat there is a sub-workflow is provided by the creator of the workflowwhen the creator indicates that one or more of the variables aresupplied.

The workflow that initiates the subflow is referred to as the parentworkflow. A workflow can be both a parent workflow to a first workflowand a subflow to a second workflow. The parent workflow may or may notwait for the subflow, as defined in the workflow creation. Consider thefollowing example, a company uses a first workflow to create new usersfor the Identity System and add the new user's identity profile to thedirectory. As part of its process, the new user workflow obtains the newuser's telephone number. The obtaining of the new user's telephonenumber is accomplished by performing a new telephone number workflow. Inthis example, the new telephone number workflow is initiated by a stepin the new user workflow. Therefore, the new telephone number workflowis a subflow of the new user workflow. In one alternative, the newtelephone number workflow can also call a subflow, for example, to get anew telephone line connected and operational. This, second subflow canalso call a subflow, and so on. There can be many levels of nesting ofsubflows. Additionally, a parent workflow can have many subflows.

In one embodiment, a parent workflow and its subflows must all beperformed by the same application. For example, the all must beperformed by the User Manager. Or, they must be performed by the GroupManager, etc.

FIG. 20 is a flowchart describing the process of using a workflow. Theprocess of FIG. 20 is performed, for example, when creating a new user,a new group, etc. In step 840, the relevant manager (e.g. user, group ororganization) receives a request to perform an action that requires aworkflow. Most actions are likely to have an effect on at least oneidentity profile in the directory. In step 842, it is determined whetherthis user is allowed to initiate the workflow. If not, the process ofFIG. 20 is completed. If so, the GUI determines and reports a set of oneor more workflows. This set of one or more workflows meets threecriteria: (1) the user is allowed to use the workflows, (2) theworkflows perform the requested task and (3) the workflows areassociated with a domain that includes the target of the task. Forexample, if user A has requested to modify the attributes of Employee 8(identity profile 264 of FIG. 5), then the system will identify andreport workflows that (1) user A has permission to access, (2) performattribute modification and (3) are associated with a domain thatincludes identity profile 264 of FIG. 5. In one embodiment, theidentified workflows are displayed in a menu.

In some situations, a workflow is requested without knowing the locationof the target identity profile. For example, a user can request tocreate an object without indicating where to store the object in thedirectory. In such a scenario, the system will find and report workflowsthat perform the requested task and can be accessed by the user. Whenthe system reports the list of workflows (e.g. via a GUI), the systemwill also report the domain associated with each workflow. In thissituation, step 846 includes the system receiving a selection from theuser of the workflow desired, and the domain to operate on.

In step 846, the system receives a selection from the user of the workflow desired. Note that is step 844 only identified one workflow, thenstep 846 can be skipped or performed automatically. In step 850, it isdetermined whether the user is allowed to perform this workflow step. Ifnot, the process of FIG. 20 is completed, at least temporarily. Oneembodiment of the process of FIG. 20 does not include step 850. If theuser is allowed to perform the step, then the event catalog is accessedin step 852. The event catalog, which will be discussed in more detailbelow, is a list of events that trigger actions (e.g. cross applicationworkflows) external to the workflow. In one embodiment, the eventcatalog is only checked if the template allowed for the use of externalactions. For example, one of the actions allowed in a workflow step anddefined in a template is “external_action.”

In step 854, pre-notifications, if any, defined in the workflow are sentout. In step 856, cross application workflows, if any, are invoked, asper the event catalog. In step 858, the current step of the workflow isperformed. In step 860, it is determined whether there are suppliedvariables. When creating a workflow, the creator had the option ofdefining the types of variables. Supplied variables are those variableswhose value will be supplied by a subflow. If the current step has asupplied variables, then the system searches for any workflows that cansupply the variable and apply to the appropriate domain. If only oneworkflow is found for each supplied variable, then those workflows areinitiated as a subflow in step 862. If multiple workflows are found fora particular supplied variable, then the user is given a choice and thechosen workflow is initiated as a subflow in step 862. Note that thesubflow could itself have a subflow, which could itself have a subflow,and so on. There is no limitation on the number of subflow nestings.

If there are no supplied variables, or after the subflow(s) are started,the event catalog is accessed in step 864. Note that cross applicationworkflows can be started pre-step or post-step. Step 864 is forpost-step cross application workflows. In step 866, post stepnotifications are sent out, if any. In step 868, the next step isaccessed from the workflow definition. If there are no more steps, thenthe process of FIG. 20 is completed. In step 870, the event catalog ischecked. In step 872, pre-notifications are sent out.

In step 874, the system determines whether the user is allowed toperform the next step. If not, the process of FIG. 20 is stopped. If so,the system determines in step 876 whether it has to wait for thesubflow(s) started in the previous workflow step. In one embodiment, aflag is set at workflow creation time to indicate that the workflowshould wait or not wait. If there is a subflow and the current workflowhas to wait, the system continues to wait until the subflow iscompleted. If there is no subflow or it does not have to wait, then thesystem determines whether all entry conditions have been satisfied instep 878. If not, the system waits for the entry conditions to besatisfied. If yes, the process continues to step 856.

Note that different steps may be set up for performance by differentusers. Thus, a first user may start the workflow but a different user ora different set of users may be needed for intermediate steps.Therefore, the process of FIG. 20 performed by the initial user maytemporarily halt. As described above, if another user is needed toperform a step, that user will be notified either by e-mail or throughone of the request tabs discussed above. When that user desires toperform the step, the user will request access to the workflow in step884 of FIG. 20. For example, the user can respond to a link in an e-mailor select a workflow listed in one of the request tabs. In step 886, thestep for that particular user is accessed, and then the method continueswith step 874 of FIG. 20.

FIG. 21 is a flowchart describing the process for using a subflow. Instep 900, the workflow engine (part of Identity Server 40) receives anindication that a variable/attribute is to be supplied. In step 902, theengine determines whether a workflow exists for that particular variablethat applies to the user and domain. If not, the process is done and thesupplied variable is not supplied. If there is a workflow available,then that workflow is performed in step 904. When the workflow iscompleted, it is determined whether the main workflow (parent workflow)is still active. The parent workflow may still be active because it iswaiting for the subflow to complete. Alternatively, if the parentworkflow is not waiting for the subflow to complete, then the parentworkflow may not necessarily be active. The parent workflow may becompleted.

If the parent workflow is still active, then the result of the subflowis written to the parent workflow in step 908. If the parent workflow isnot active, then the result is written to the target identity profile instep 910. In an alternative embodiment, the end result of the subflowcan be written to the target identity profile regardless of whether theparent workflow is still active or not. Note that a subflow may have asubflow of its own, which would cause the process of FIG. 21 to operatein a recursive manner. There is no limit on the number of subflownestings.

A workflow is performed by one of the three managers described above(User Manager, Group Manager, Organization Manager). There may be caseswhen one workflow in one of the applications (e.g. user manger) needs totrigger a workflow in another application (e.g. Group Manager). Forexample, when creating a new user with a workflow in the User Manager,it may be beneficial for that workflow to trigger another workflow inthe Group Manager which subscribes the new user to groups. A crossapplication workflow is performed using the event catalog describedabove, a client program and (optionally) a configuration file for theclient program, all of which will be described below.

The cross application workflow uses a pre and post processing feature ofthe integrated Identity System and Access System. The pre and postprocessing allows third parties to extend the base of functionality ofthe system by providing custom actions based on specific defined events.The base elements of pre and post processing are called events. Eventsoccur any time the user interacts with the system. Events can be assimple as adding, modifying or deleting an object or could be as complexas a specific step within a workflow process. Actions are functions orapplications that perform a task in response to an event. These actionsare defined to enhance the base functionality of the system of FIG. 1.Multiple actions can be defined for each event. Actions are executed inthe order that they appear in an event catalog. Actions are definedusing a plug-in model similar to Web Server CGI model. Functions areapplications defined for each custom action. Each function/applicationwill take a standard XML structure as its parameters that allow thesystem to specify information about the event that triggered thefunction. Action functions are defined within libraries (.dll or so) orstand alone executable files. To create a new action based on an event,one must insert a hook into the event catalog. All entries in the eventcatalog are defined in the following format:

actionName; exectype; param1, param2, . . . ; path; execparam; func;

The “actionName” is the name of the event. The convention for mostevents is APPNAME_EVENTNAME_PPPTYPE, where APPNAME is the name of theapplication, EVENTNAME is the name of the event and PPPTYPE is the typeof processing (pre event or post event). For a workflow, the APPNAME isthe workflow ID for the workflow, the EVENTNAME is the step number inthe workflow. The “exectype” is a type of hook, which can be exec orlib. An exec is an executable. A type that is lib is in a library suchas a dll. The “param” is the parameter, which the system takes to outputthe value. The parameters are deliminated by commas. The “path” is thepath for the external exc or dll to be launched. The “execparam”identifies the input parameters, deliminated by a comma. The “func” isthe function in the shared library. Thus, when the event defined inactionName occurs, the appropriate executable or library function iscalled.

The function in the shared library or the executable that is to beexecuted upon the event (hereinafter referred to as the “clientprogram”) needs to include logic to decide which workflow (or otherprocess) to be invoked. It can make use of a configuration file to havea mapping between workflows and any distinguished names, values ofattributes, system parameters and any other variables of interest. Thisclient program, after deciding which workflow to call, must connect tothe system. In some embodiments, the client program does not call anyworkflows—rather the client program does all of the work or the clientprogram calls another program/function.

In one embodiment, the integrated Access and Identity System accepts XMLdocument inputs that are encapsulated in a SOAP envelope using HTTPprotocol requests. The XML document contains the necessary parametersand authentication information for carrying out the request. The requestis sent to an appropriate URL for the desired application. The IdentitySystem provides the desired application's response to the client programas an output XML document.

The XML input language is a language based on SOAP that allows customersto perform functions outside of the current GUI. The structure of SOAPrequests is explained in greater detail below.

One example of a use for a cross application workflow is for a new userworkflow to spawn a subscribe to group workflow. The following is theXML input to spawn the subscribe to group workflow:

© Oblix, Inc., 2001 <?xml version=“1.0”?> <oblix:requests><authentication type “basic” login=“newuser” password=“passwd”><oblix:request application =“groupservcenter”function=“SetGroupSubscription” includeRequest=“none”displayOutput=“No”> <oblix:params>  <oblix.param name=“useruid”>  <oblix:value>cn=new user, ou=engineering,o=company,c=us</oblix:value></oblix:param> <oblix:param name=“groupuid”> <oblix:value>cn=engineering group,ou=engineering,o=company,c=us</oblix:value> </oblix:param></oblix:params> </oblix:request> </oblix:requests>

FIG. 22 is a flowchart describing the process for creating a crossapplication workflow situation. In step 940, the first workflow for thefirst application is created. For example, the create user workflow forthe User Manager application is created. In step 942, the secondworkflow for the second application is created. For example, thesubscribe user to group workflow can be created in the Group Managerapplication. In step 944, an entry is added to the event catalog. Forexample, an entry is added to the event catalog that indicates theworkflow ID for the workflow created in step 940—the step that shouldspawn the second workflow and that it is a post event. The entry alsoidentifies the client program that will be created (see below). In step946, the client program is created which invokes the second workflow.This client program receives the distinguished name of the newly createduser as a parameter. In another embodiment, the client program receivesother attributes from the identity profile being operated in by originalworkflow. The client also receives the workflow instance, the work stepidentification, and attributes of the work step. In step 948, aconfiguration file may be created for the client program. For example,if the second workflow is to subscribe a user to a group, then theconfiguration file may include rules for which users should be added towhich groups.

FIG. 23 is a flowchart describing the process of accessing the eventcatalog in order to invoke cross application workflows. The process ofFIG. 23 is performed by a workflow engine in one of the applicationsduring steps 852, 864 and 870 of FIG. 20. In step 978 of FIG. 23, theworkflow engine determines whether there is an entry in the eventcatalog for the current step of the workflow. If step 856 is beingperformed, the workflow engine is looking for a catalog entry that is apre-event. If step 860 is being performed, the workflow engine islooking for a catalog entry that is a post-event. If no catalog entriesexist, then the process of FIG. 23 is done. If a catalog entry exists,then the client program identified in the catalog entry is invoked instep 980. In step 982, the parameters are passed to the client program.In step 984, the workflow engine waits for a response from the clientprogram. The client program will respond with one of three status codes:success, fail, or async. If the return code is “success” then the crossapplication workflow did not cause the step to fail (step 998). If theresponse from the client program was “fail” then the workflow engineconsiders the step to have failed (step 990).

When the client program is called, it is passed the followinginformation: distinguished name of the user, attributes that have beenpreconfigured in the event catalog, a callback handle URL and theworkflow ID. The callback handle URL is a URL for the client program tocall back the workflow if the workflow returns a “async” status code.The client program is written to return either failure, success or asyncdepending on the conditions specific to that particular program. Whenthe client program returns with “fail” or “success” the workflowcontinues. If the client program returns “async,” then the firstworkflow pauses until the client program invokes the callback handle URLto start the first workflow again. When the client program sends an“async” status, the user at the browser receives a status message thatthe workflow is pending for another event.

Therefore, in step 986, if the response is “async” then the workflowengine pauses and waits for the client to return in step 992. The useris provided with a message that the workflow is paused. When the clientprogram invokes the callback URL (step 994), the workflow engine willreceive an asynchronous response of either a “success” or “fail” withthe callback URL. If the result is “fail” (step 986), then the processcontinues at step 990. If the result is “success” (step 986), then theprocess continues at step 988.

FIG. 24 is a flowchart describing a process performed by the clientprogram during the cross application workflow process. In step 1010, theclient program is invoked. In one instance, the client program isinvoked in response to an event being recognized in the event catalog.For example, step 1010 can be performed in response to step 980 of FIG.23. In step 1012, the client program receives the data discussed above(see step 982 of FIG. 23). In step 1014, the client program reads theconfiguration file. Note that some client programs may not need aconfiguration file. In step 1016, the logic in the client programdetermines which workflow in which application to invoke. In step 1018,the client program composes a request in an XML document, as describedabove. In step 1020, the client program connects to the appropriateapplication using SOAP. In step 1022, the XML input document is sent tothe relevant application. In response to the XML input document, theapplication will perform the requested workflow or other service. Instep 1024, the application responds, and the client receives anindication of whether the second workflow was started successfully.

In step 1026, the client program returns a status message back to theworkflow engine indicating success, failure or async, based on whetherthe second workflow started successfully and other custom logic(optional). In step 1028, the client program waits for the outputmessage from the application running the second workflow. The outputmessage is likely to be sent to the client program after the secondworkflow is completed. The output message is an XML document. In step1030, the output message is processed (including being read and actedon). In step 1032, the client program invokes the callback URL if theprevious status was “async.” Note that the above discussion was tailoredto cross application workflows. However, the pre and post processingfeatures, including the event catalog, client program and XML inputs,can be used to associate with events other than workflow events andother than workflow actions.

Looking back at FIG. 9, one of the services provided by Group Manager 44is to the ability to view a list of all groups of which a user is amember. A user can be a static member of a group, a dynamic member of agroup or a nested member of a group. A user is a static member if theuser is explicitly listed as a member. For example, the user can beidentified in a membership attribute of the group identity profile. Auser is a dynamic member if the user's identity profile matches the LDAPrule that specifies the group's dynamic membership. The LDAP rule isstored in an attribute of the group identity profile. A user is a nestedmember of Group A if the user is a member for Group B and Group B is amember of Group A. The number of levels of nesting is not limited. Anested member of a group receives the privileges of being a member,including receiving access to resource available to the group.

When a user selects the My Groups tab 434, the user is provided with alist of the groups for which the user is a static member, dynamic memberor nested member. In one embodiment, My Groups tab 434 visualizes thecontainment relationship of all groups in which the user is a member.This relationship is displayed as a tree on its side, with the roots onthe left and the leaves on the right. The display allows the user totunnel down from a particular group to display the groups contained in(e.g. that are a member of) that group, and so on.

FIG. 25 is a flowchart describing one embodiment of a process fordetermining all the groups of which a user is a member, including staticmembership, dynamic membership and nested membership. The process can beused to build a tree structure in which the nodes are groups thatcontain the user as a member. The leaf nodes of the tree are thosegroups in which the user is a static or dynamic member. All other nodesare groups in which the user is a nested member. The process of FIG. 25assumes the following:

Let u denote the target user;

Let g denote a single group;

Let G denote a set of groups, where the g_(i) denotes the i_(th) groupin the set;

Let G₅ denote the set of groups in which u is a static member;

Let G_(d) denote the set of groups in which u is a dynamic member; and

Let G_(t) denote the set of groups in which each g_(i) has a referenceto each of its containing groups.

The process of FIG. 25 starts at step 1 100 when a user requests to viewgroups of which the user is a member. One example of performing step1110 is the selection of My Groups tab 434 (see FIG. 9). In step 1102,the system determines all groups of which the user is a static member.Each group identity profile has an attribute defining static membership.The system determines all groups for which the user is specificallylisted in the static membership attribute. In step 1104, the systemdetermines all groups of which the user is a dynamic member. A group canhave an attribute that defines a dynamic membership in terms of an LDAPfilter/rule. In one embodiment, the system compares the user's identityprofile with the LDAP filter for each group to determine which filtersare satisfied by the user's identity profile. Those LDAP filters thatare satisfied are groups in which the user is a dynamic member.

In step 1106, the set of groups that the user is a static member of andthe set of groups that the user is a dynamic member of are combined todetermine the set of groups in which the user is either a dynamic orstatic member. In step 1108, the final set of groups G_(t) isinitialized to the set of groups in which the user is either a staticmember or dynamic member. For each group in which the user is a staticor dynamic member, the system calls the function Find_Containing_Groups(step 1110). The results of the function are added to the set G_(t). Instep 1114, the resulting set G_(t) is reported as an identification ofall the groups in which the user is either a static, dynamic or nestedmember. The resulting set can be reported in various ways includingreporting the groups in a GUI for the user (e.g. a tree on its side),reporting the groups to the user in a non-graphical format, storing alist of the groups in a file, providing identifications of the groups toanother process, etc. In one example, the access system requests thatthe Identity System determine a user's groups so that the access systemcan authorize a user to access a resource based on membership in aparticular group.

The function Find_Containing_Groups (shown as step 1112) includes threesub-steps. In the first sub-step (substep 1 in step 1112), the systemfinds all groups that contain g_(j) as a member. These are thecontaining groups of g_(j). In the second sub-step, the system iteratesover the set of containing groups. In sub-step 2.i. (step 1112), thesystem marks g_(i) as a containing group g_(j). The markings areprovided in order to graphically show the nesting relationship in MyGroups tab 434. In sub-step 2.ii. (step 1112), the system recursivelyfinds the containing groups of g_(i). In sub-step 3 (step 1112), thesystem returns the closure of the set of containing groups.

FIG. 26 is a second embodiment of a process for determining the groupsin which the user is a member. The process of FIG. 26 is a moreoptimized method than FIG. 25. The process of FIG. 26 utilizes thefollowing assumptions:

Let u denote the target user;

Let g denote a single group;

Let G denote a set of groups where g_(j) denotes the i^(th) group in theset;

Let G_(s) denote the set of groups in which u is a static member;

Let G_(d) denote the set of groups in which u is a dynamic member;

Let G_(ni) denote the set of groups in which u is a nested member, wherei denotes the i^(th) level of nesting;

Let G_(n) denote the set of G_(ni) where i is the i^(th) set of groups;

Let G_(c) be a set of groups, where g_(j) denotes the j^(th) group inthe set; and

Let G_(m) be a set of groups, where g_(k) denotes the k^(th) group inthe set, such that for all g_(k), there exists g_(j) such that g_(k) isa static member of g_(j).

In step 1140 of FIG. 26, the system receives a request to view groups ofwhich a user is a member. One example of performing step 1140 is theuser selecting My Groups tab 434. In step 1142, the system determinesthe set of groups G_(s) in which the user is a static member. In step1144, the system determines the set of groups G_(d) in which the user isa dynamic member. In step 1146, the variable i is initialized to nestinglevel 0. In step 1148, G_(m) is initialized to be the union of G_(s) andG_(d). In step 1150, the system iterates until the set of groups for thei^(th) level of nesting is empty, finding the (i+1^(th)) set of groupswhich contain groups that have a static member that is in the i^(th) setof groups.

In step 1152, the system iterates over the set of groups in G_(n). Instep a, G_(c) is set to G_(ni+1). In step b, G_(m) is assigned to equalG_(ni). In step c, the system iterates over the containing set of groupsG_(c). In step d, the system iterates over the contained set of groupsG_(m). In step e, the system determines if group g_(k) (the containedgroup under consideration) is a static member of the group g_(j) (thecontaining group under consideration). In step f, the containing groupg_(j) is marked as a containing group of g_(k), if g_(k) is a staticmember of g_(j). In step 1154, the system iterates over the set ofG_(ni), adding each set of groups to the final set G_(t). In step 1156,the resulting set of groups G_(t) is reported back to the requester.

Another feature of the Group Manager is to allow a user to view all themembers of a group. For example, when a list of groups is presented inresponse to a search or a request to “view all my groups,” a user canselect a group and request to see all the members. A response to thisrequest from Group Manager 44 will list all static members, dynamicmembers and nested members of the group. In one embodiment, each type ofmembership (static, dynamic, nested) is displayed as separate lists. Inother embodiments, one combined list is displayed. To display static anddynamic membership of the group is somewhat straightforward. Staticmembership is stored directly in the group's identity profile. A dynamicmembership is obtained by evaluating the LDAP rule/filter that specifiesthe group's dynamic membership. However, the nested membership is moredifficult to determine, since the membership of nested members must berecursively calculated.

FIG. 27 is a flowchart describing one embodiment of a process fordetermining all members of a group, including static members, dynamicmembers and nested members. The process of FIG. 27 assumes thefollowing:

Let U_(t) be the total set of group members including static, dynamicand nested;

Let g denote a single group;

Let G denote a set of groups;

Let g_(i) denote the i^(th) group in G;

Let U_(s) (g) denote the set of static user members of group g;

Let G_(s) (g) denote the set of static members of group g;

Let U_(d) (g) denote the set of dynamic user members of group g; and

Let g_(t) be the target group.

In step 1200, the system receives a request to view the members of agroup. In response to the request, the system calls the functionGetMembersOfGroup in step 1202. The result of the functionGetMembersOfGroup is a set of users U_(t), which is reported in step1204. The function GetMembersOfGroup includes three steps. In the firststep (1), the static members of group g are added to the total setU_(t). In the second step (2), the dynamic members of group g are addedto the total set U_(t). In the third step (3), the system iterates overthe set of static group members of group g—adding the members for g_(i)to the total set U_(t) by recursively calling the functionGetMembersOfGroup.

FIG. 28 is a flowchart describing a second embodiment for the process ofdetermining the members of a group. The process of FIG. 28 assumes thefollowing:

Let R denote a set of LDAP rules;

Let r denote an LDAP rule comprised of three components: r_(sb), scoper_(c) and filter r_(f);

Let r_(i) denote the i^(th) rule in the set R;

Let g_(r) denote the LDAP rule that specifies the dynamic membership ofthe group; and

Let R_(n) denote the normalized set of LDAP rules, there does not existr_(i) and r_(j) such that r_(i−sb)=r_(i−sb) and r_(i−c)=r_(j−c).

In step 1220 of FIG. 28, the system receives a request to view membersof a particular group. In step 1222, the function GetMembersOfGroup iscalled. This function includes three steps. In the first step (a), thestatic members of group g are added to the total member set U_(t). Inthe second step (b), the dynamic membership rule g_(r) is added to R. Inthe third step (c), the system iterates over the set of static groupmembers of g, G_(s) (g), calling GetMembersOfGroup for each g_(i) andG_(S) (g). The function GetMembersOfGroup adds all static members of gto the total member set U_(t), and adds the LDAP rule specifying dynamicmembership of g to set R.

In step 1224, the system iterates over the set of rules R, constructingthe normalized set of rules, R_(n). In substep (i) of step 1224, thesystem initializes the match to false, and j to 0 for each iteration. Insubstep (ii), the system iterates over the set of rules in thenormalized set R_(n), continuing until a match is found or until the endof the set. The system checks if the rule r_(i) in R has identicalsearch base (r_(sb)) and scope (r_(s)) as the ruler_(j), in thenormalized set R_(n). If so, the system constructs the disjunction ofthe filter in the normalized rule r_(nj) with that of r_(i). The systemalso sets match to true to indicate that r_(i) has been normalized. Insubstep (iii) of step 1224, if a rule r_(nj) has not been found in thenormalized set R_(n) that has an identical search base (r_(sb)) andscope (r_(s)) as r_(i), then add r_(j) to the normalized set. In step1226, the system iterates over the set of normalized rules in R_(n),getting the user set for each rule U (r_(ni)) and adding that set to thetotal member set U_(t). In step 1228, the total member set U_(t) isreported back as a list of members. Once you have identified a list ofmembers, a requesting entity can request to view certain attributes ofthose users.

Group manager 44 also allows an administrator to associate a policy witha group that controls user subscription to and unsubscription from thatgroup. Subscription is defined as adding the user to the staticmembership of the group. Unsubscription means removing the user from thestatic membership of the group. A static member is a member who isexplicitly identified as a member, as opposed to a dynamic member thatis indirectly identified by a rule or other means. In one embodiment, anidentity profile for a group includes an attribute that stores a list ofall static members and an attribute that stores an identification of thepolicy for subscribing/unsubscribing.

While viewing the attributes of a group, a user can request to subscribeor unsubscribe. In one embodiment, a “subscribe” button or “unsubscribe”will be displayed in the GUI while the user views the attributes of agroup. By selecting the button, the subscribe or unsubscribe processwill start based on the policy for that group. The process ofsubscribing or unsubscribing according to a policy is typicallyinitiated by the user who is being added to or removed from the group.However, in other embodiments, a first user can request that a differentuser be added to or removed from the group.

There are at least four policies for subscribing/unsubscribing: open,open with filter, control through workflow and closed. An open policydoes not restrict subscription or unsubscription, any user can subscribeor unsubscribe. The open with filter policy requires that a user satisfyan LDAP rule (or other type of rule) to subscribe but does not requirethat the rule be satisfied to unsubscribe. The control through workflowpolicy requires a user to subscribe or unsubscribe through a workflowprocess. In one embodiment, in order to start the process, the user mustbe a participant in the first step of a workflow that changes the staticmember attribute of the group. A closed policy prohibits thesubscription to or unsubscription from the group. The open and open withfilter policies are less restrictive than the control through workflowand close policies. In one embodiment, the system enforces the rule thatno group with a less restrictive policy can be added as a nested memberto a group with a more restrictive policy. This rule avoids subversionof the latter policy.

FIG. 29 is a flowchart describing the process for subscribing to agroup. While interacting with Group Manager 44, a user can use searchtool 432 or other means to identify a list of groups. By selecting oneof those groups, the user can access the profile page for that group(step 1250). A profile page may have a “subscribe” button. A userchooses the “subscribe” button in step 1252, indicating that the userwishes to subscribe to that group. In response to the user (or otherentity) selecting the “subscribe” button, Group Manager 44 accesses thegroup's attribute that stores the identification of the policy forsubscribing/unsubscribing and determines whether the subscription policyof the group is “open” (in step 1254). If the policy is “open,” thenthat entity is added to the group in step 1256. If the policy is notopen, then the system determines whether the policy is “open withfilter” (in step 1258). If so, the system accesses the LDAP ruleassociated with the policy in step 1260 and applies the LDAP rule to theuser's identity profile in step 1262. If the LDAP rule is satisfied(step 1264) then the entity is added to the group in step 1266. If therule is not satisfied, then the user is not added to the group and thesubscription fails in step 1268.

If the subscription policy was not open or open with filter, the systemdetermines whether the subscription from policy is “controlled throughworkflow” (step 1270). If so, then the workflow is initiated in step1274. If the workflow completes successfully (step 1276), then theentity is added to the group in step 1278; otherwise, the subscriptionfails and the entity is not added to the group in step 1268. In oneembodiment, the workflow is used to approve a user for a group. If theuser is approved, the user is added to the group after the workflowcompletes. In another embodiment, the user is approved and added to thegroup by the workflow. If the subscription policy is not “open,” “openwith filter,” or “controlled through workflow,” then the group is closedand the user cannot be added to the group (step 1272).

FIG. 30 is a flowchart describing the process for unsubscribing from agroup. In step 1300, the entity accesses a group profile page. Thisgroup profile page may include a “unsubscribe” button. The user selectsthat button to unsubscribe from the group in step 1302. The user profilepage may be accessed in many ways including using a search tool or froma list of groups when the user selects My Groups tab 434. After the userselects to be unsubscribed from the group, the system determines whetherthe subscription policy is “open” or “open with filter” (step 1304). Ifso, the entity is removed from the group in step 1306. If not, thesystem determines whether the policy is “controlled through workflow”(step 1308). If not then the group is closed and the entity cannot beremoved (step 1310). If it is “controlled through workflow,” then theworkflow is initiated to step 1312. If the workflow completessuccessfully (step 1314), then the entity is removed from the group instep 1316. If the workflow does not complete successfully, then theentity is not removed from the group (step 1318). In one embodiment, theuser is approved for removal by the workflows, and actually removed fromthe group after the workflow completes. In another embodiment, the useris both approved and removed from the group by the workflows.

Another feature of Group Manager 44 is the ability to perform groupexpansion. Expanding a group means evaluating the LDAP rule thatspecifies its dynamic membership and then updating the static membershiplist with results of the evaluation of the LDAP rules. Expansion, ineffect, populates the static membership with a snapshot of the dynamicmembership at the time of expansion. Expansion has performanceimplications. On one hand, it is much faster to evaluate groupmembership by looking up a value in the static membership list than toevaluate the rule that specifies dynamic membership. On the other hand,frequently updating groups is, in itself, computationally expensive. Ifthe expansion occurs as a separate process, the performance hit can behidden from the user. Thus, if a group is already expanded when a userrequests to see all the members of a group, the processes of FIG. 27 or28 do not need to be performed again because the group only has staticmembers at this point. An administrator should expand the groupsregularly to maintain accuracy. It may be possible to create abackground process that automatically expands a group at certainintervals.

In one embodiment, the group expansion feature can be accessed fromConfigure tab 440 in Group Manager 44. Within the configure tab there isa button labeled “Expand Dynamic Groups.” FIG. 31 is a flowchart fordescribing the process for expanding dynamic groups. When the userselects the button in Configure tab 440, a request to expand is sent toGroup Manager 44 in step 1350. The administrator can select a particulargroup or set of groups to be expanded in step 1352. In step 1354, thesegroups are expanded by determining all of the members of the groupsaccording to the processes of FIGS. 27 or 28. In one embodiment, theprocess of expanding the groups only determines dynamic members. Inanother embodiment, the process of expanding determines dynamic membersand nested members (including multiple levels of nesting). Step 1354also includes storing all of the determined members. In one embodiment,the system will store and keep track of which group members were addedduring expansion and which members were original static members. That isbecause future expansions may remove some members that no longer satisfythe LDAP rule; however, members who are named static members will not beremoved as part of the expansion process.

When an entity accesses the groups that were expanded in step 1354and/or requests to see the members of the group (step 1356), the entitysees the expanded list of members. Additionally, any process that needsto access members of a group will access the membership generated in theexpansion process. In one embodiment, the process of FIG. 31 can beautomatically repeated (step 1358) using a background process or anyother means.

In one embodiment, the process of expanding groups can only be performedon groups that have an expansion attribute that is set to true.Additionally, the person or entity expanding the group must have readaccess for the group expansion attribute and the dynamic filterattribute. That user must also have write access for the static memberattribute. In one embodiment, all the expanded members are stored in thestatic member attribute with the original static members. In anotherembodiment, all of the original static members can be stored in oneattribute and the members added during expansion stored in anotherattribute.

Another feature of Group Manager 44 is the ability to dynamically modifygroups during run time. This feature is based on attaching auxiliaryobject classes to structural object classes. A structural object classcan be instantiated to create a group such that for each entry in thedirectory there is only one structural object class. The structuralobject class cannot change after the object has been instantiated and isbeing used. One or more auxiliary object classes can be attached to anystructural object class in a directory. The structural object classdefines a set of attributes. The auxiliary object class also has a setof attributes. When an auxiliary object class is attached to an objectclass, the attributes of the auxiliary class are added to the object.Once instantiated, a structural object class cannot be modified orremoved; auxiliary object classes, however, can be added or removed.Group manager 44 provides the user with the ability to add or removeauxiliary object classes on the fly using a GUI.

Prior identity systems allow for the addition of auxiliary classes tostructural classes upon creation of the object. The present inventionallows for auxiliary classes to be added and removed subsequent toobject creation. That is, dynamically, an existing object class can haveadditional attributes added to the group object or removed from thegroup object by adding or removing auxiliary classes.

When creating a group, an administrator (or other user with sufficientprivileges) is provided with a graphical user interface that lists allpossible attributes that can be included in the group profile. Some ofthese attributes are part of structural object class, while others arepart of auxiliary object classes (or auxiliary object class schema). Ifthe user selects attributes from an auxiliary class, then thoseauxiliary classes are added to the object upon creation of the object.After the group is created, various attributes can be populated withdata values. Subsequent to this time, attributes that are associatedwith auxiliary classes can be removed or added to the group. In additionto adding flexibility to defining which attributes are associated with agroup, the present invention allows for bulk deletion of attributes.Simply removing the auxiliary object class from the group entry willautomatically delete all attributes of the removed auxiliary objectclass.

FIG. 32 is a flowchart describing an overview of the process for addingand removing attributes to a group during run time. In step 1398, agroup is created. This step includes determining which attributes toinclude in the group definition. Based on the attributes chosen, astructural class and the appropriate auxiliary classes are added to thegroup. In one implementation, the group is created by instantiating theappropriate classes to create a group object representing the groupidentity profile. In one embodiment, a group can be created that has anauxiliary class, but no attributes of that auxiliary class. The systemcan use a workflow to create the group and the workflow knows whichauxiliary classes to use. The arrow from step 1398 to step 1400 isdepicted as a doted line to indicate that time and other steps passbefore step 1400 is performed. That is, step 1400 is performed after agroup has been created and, possibly, after the various attributes havebeen populated with data. In step 1400, Group Manager 44 receives arequest to modify the existing group. This can happen from Configure tab440. Alternatively, while viewing a group, Group Manager 44 will displaya “modify group” button. Selecting that button allows the user torequest a modification to the group being viewed, if the user hassufficient privileges. In step 1402, Group Manager 44 provides a list ofauxiliary classes that can be added or removed from the existing group.In an alternative embodiment, Group Manager 44 provides a list ofattributes to add or remove, with each of the attributes beingassociated with auxiliary classes. The auxiliary classes and/orattributes to be added or removed are reported to the user via agraphical user interface. Next to each class (or each attribute) is acheck box. The user can check the check box to indicate that the class(or attribute) should be added. The user can uncheck check box toindicate that the class (or attribute) should be removed. In step 1404,the selection of classes (or attributes) to be added and removed arereceived by Group Manager 44 from the graphical user interface andstored. In step 1406, those auxiliary classes selected to be removed arethen removed from the group object including removing those attributesfrom the group object. In step 1408, the auxiliary class selected to beadded and their associated attributes are added to the group object.After step 1408, the group can be used as any other group; for example,a user can be authorized to access a resource based on attributes of ormembership in a group.

FIG. 33 is a flowchart describing the process for removing auxiliaryclasses and their associated attributes from an object. In step 1430,Group Manager 44 selects one of the classes that have been marked forremoval. In step 1432, Group Manager 44 determines which attributes areassociated with that selected auxiliary class. The attributes identifiedin step 1432 do not include attributes that are part of a class that isnot being removed. In step 1434, those attributes that are determined instep 1432 are removed from the group object. When the attributes areremoved, all data stored in those attributes is deleted. In step 1436,the actual auxiliary class is removed from the group object. In step1438, all auxiliary classes that are superior classes to the currentlyselected auxiliary class (see step 1430) are removed from the groupobject. In many instances, the auxiliary classes are part of an objectoriented hierarchy where auxiliary classes can be subclasses of otherclasses (called superior classes). A subclass inherits from the superiorclass. In many cases, a particular auxiliary class may have a superiorclass, which has a superior class, which has a superior class, and soon. Thus, the chain of superior classes from the auxiliary class will goall the way up the tree to the root class. Therefore, some auxiliaryclasses will have many superior classes. All of the superior classes fora particular auxiliary class are removed when that auxiliary class isremoved. Step 1436, however, does not remove a superior class, if thatsuperior class is also superior to another auxiliary class that is partof the object and is not being removed. There is no need to remove theattributes of the superior classes because all those attributes havebeen inherited by the auxiliary class and already removed in step 1434.In step 1440, it is determined whether there are any more auxiliaryclasses to be removed. If there are more auxiliary classes to beremoved, then the method loops to step 1430. If there are no moreauxiliary classes to remove, then the process is complete. Note thatsome directories do not allow for the modification of the object classattribute; therefore, in those cases, only the attributes are removed.

FIG. 34 is a flowchart describing a process for adding to the groupobject those auxiliary classes that have been marked for addition. Instep 1460, Group Manager 44 chooses an auxiliary class for adding to thegroup object from those auxiliary classes marked for addition. In step1462, the chosen auxiliary class is added to the group object. In step1464, all superior classes of the auxiliary class chosen in step 1460that are not already part of the group object are added to the groupobject. In step 1466, all of the attributes from the auxiliary classselected in step 1460 are added to the group object. In step 1468, it isdetermined whether there are any more auxiliary classes to add. If thereare more auxiliary classes to add, then the method loops back to step1460. If there are no more auxiliary classes to add, then the method ofFIG. 34 is completed.

The ability to add or remove from an existing group at runtime providesgreater flexibility in defining the content for groups. Furthermore, theremoval of an auxiliary class provides a means to bulk delete a set ofattributes because removing an auxiliary class will, in one embodiment,delete all attributes for the removed class. Finally, the ability to addor remove from an existing group provides for less coupling between agroup schema and group entries. For example, if the schema changes suchthat a group auxiliary class is removed, only those group entries thathave that auxiliary class need to be updated.

The Identity System also includes an “Advanced Group” auxiliary objectclass that contains the attributes necessary to implement some of theunique functionalities described above. Administrators can attach the“Advanced Group” to a group in order to provide values for attributesthat control features such as Subscription/Unsubscription and DynamicMembership. In one embodiment, the “Advanced Group” consists of oneauxiliary class that includes the attributes listed below. In anotherembodiment, the “Advanced Group” consists of a plurality of classes.

The attributes in the “Advanced Group” related toSubscription/Unsubscription are:

obgroupsubscriptiontype—stores the subscription policy

obgroupsubscriptionfilter—stores an LDAP rule used with the Open withFilter policy

obgroupsubscribenotification—stores values of either “subscribe” or“unsubscribe” indicating whether or not the user should receive an emailupon subscribing or unsubscribing from the group.

obgroupsubscribemessage—stores a customized message the user receivesupon subscribing to the group

obgroupunsubscribemessage—stores a customized message the user receivesupon unsubscribing from the group

The attributes related to Dynamic Membership are:

obgroupdynamicfilter—stores the LDAP rule that defines the group'sdynamic membership

obgrouppuredynamic—stores either “true” or “false” indicating whether ornot static members can be added to the group

The following two attributes belong to neither of the two categoriesabove but are included here for completion:

obgroupsimplifiedaccesscontrol—stores the initial attribute accesscontrol policy applied to newly created group

obgroupadministrator—stores the user selected as the groupadministrator.

The system of FIG. 1 provides users with a variety of interface options.For example, the system supports users with traditional browsers byproviding for communication using HTTP and Hypertext Mark-up Language(“HTML”). The system also supports interfaces to third partyapplications, proprietary browsers and others by providing forcommunication using Extensible Mark-up Language (“XML”). Embodiments ofthe present invention provide further flexibility by facilitating theuse of custom XML templates to generate HTML and XML responses.

FIG. 35 shows a process employed by Identity Server 40 to provideresponses to users' requests. Identity Server 40 receives the requestfrom Web Server 20 (step 1600). In one embodiment of the presentinvention, Identity Server 40 is capable of receiving HTML requests viathe HTTP protocol, as well as XML requests via the SOAP protocol (orother protocols). One example of an HTML request over HTTP (or otherprotocols), appears as follows:

http://host:port/appname.cgi?param1=value1 & param2=val2 . . .

The “http” indicates the request is controlled by the HTTP protocol. Thehost:port field identifies the host that is the target of the requestand port on that host. The appname field identifies the application forIdentity Server 40 to perform, such as User Manager, Group Manager, orOrganization Manager. The parameter fields (param1, param2, . . . )identify parameters employed by the identified application. For example,param1 may be a function the identified application performs, and param2may be a variable or other information required for carrying out thefunction. One example of a function is a search program that searchesDirectory Server 36 for entries with attributes corresponding to valuesin the request's parameters. In this example, the parameters may requireIdentity Server 40 to search Directory Server 36 for the employee entryfor John Smith.

When the SOAP protocol is employed, Identity Server 40 receives arequest similar to the example described above, with a host:port valuethat informs Identity Server 40 that the SOAP protocol is in use. Therequest includes an XML document encapsulated in the SOAP protocolformat. The following provides an example of such a request:

© Oblix, Inc., 2001 <?xml version=“1.0”?> <SOAP-ENV:Envelopexmlns:oblix=“http://www.oblix.com”xmlns:SOAP-ENV=“http://schemas-xmlsoap.org/soap/envelope/”><SOAP-ENV:Body> <oblix:authentication xmlns:oblix=“http://www.oblix.com”type=“<fill in authentication type>”> <oblix:login>loginname</oblix:login> <oblix:password>password</oblix:password></oblix:authentication> <oblix:request application=“<fill in applicationname>”function=“<fill in function name>”> <oblix:params> <oblix:paramname=“<fill in parameter name>”><fill in parameter value></oblix:param></oblix:params> </oblix:request> </SOAP-ENV:Body> </SOAP-ENV:Envelope>

The above listed text is the backbone of a standard SOAP request withthe italicized text representing variables that change between requests.The “oblix:authentication” directive identifies the type of userauthentication to be employed. The authentication directive includes atype parameter that corresponds to an authentication operation. Oneauthentication type calls for a user's login ID and password. Theseparameters are provided in the “oblix:login” field and “oblix:password”field. Alternate implementations of authentication operations includeevaluating a user's cookie and/or requiring the user to submit achallenge phrase.

The “oblix:request” directive provides the necessary information foridentifying the user's request. Attributes provided within the“oblix:request” section are application name, function name, andparameters employed by the function.

Once a request is received (step 1600, FIG. 35), Identity Server 40determines whether any pre-processing is required for the request (step1602). Decryption is an example of one pre-processing operation. Ifpre-processing is required, Identity Server 40 performs thepre-processing operation (step 1604). Once pre-processing is complete orif no pre-processing is required, Identity Server 40 translates therequest (step 1606). In one implementation, Identity Server 40translates the request by identifying all programs to be performed inresponse to the request and the format for outputting the results fromeach program. Process steps for carrying out the translation aredescribed in greater detail below.

Identity Server 40 performs the request (step 1608) after the request istranslated. In performing the request, Identity Server 40 retrieves andmanipulates data in accordance with the functions identified in therequest. After the request is performed, Identity Server 40 prepares anOutput XML (step 1610). The Output XML is a data file organized inaccordance with formatting directions retrieved during the translationoperation (step 1606). In one embodiment of the present invention, theOutput XML is formed using a XML template obtained during thetranslation process (step 1606) and display characteristics. The XMLtemplate provides a data structure for the Output XML. The use of XMLtemplates and display characteristics is described in greater detailbelow.

After preparing the Output XML, Identity Server 40 determines whetherany post-processing is to be performed (step 1612). Post-processing mayinclude operations such as encryption. Embodiments of the presentinvention also provide for post-processing operations that furthercustomize the Output XML. If post-processing is to be performed,Identity Server 40 carries out the post-processing operation (step1614).

After completing post-processing or if no post-processing is necessary,Identity Server 40 determines whether client-side processing will beused (step 1616). In client-side processing, Identity Server 40 providesthe Output XML data file to the requesting client through Web Server 20.In contrast, the client may elect to have Identity Server 40 performserver-side processing. In server-side processing, Identity Server 40processes the Output XML to prepare a response to the request.

If client-side processing is chosen, Identity Server 40 prepares aclient-side response (step 1620). In one implementation of the presentinvention, two different client-side responses are possible. The clientmay receive only the Output XML or both the Output XML and references toa set of XSL stylesheets that contain directives for converting theOutput XML into an HTML display. In various embodiments of the presentinvention, the set of XSL stylesheets may contain one or multiple XSLstylesheets. The user (or client) then formats the Output XML forpresentation or any other purpose the user desires. If client-sideprocessing is not selected, Identity Server 40 prepares a server-sideresponse (step 1618). In one embodiment, Identity Server 40 combines theOutput XML with a XSL stylesheet to obtain a HTML response for theclient.

In one embodiment of the present invention, Identity Server 40determines whether to perform client-side or server-side processing byexamining a processing parameter in the request. In a furtherimplementation, the processing parameter also indicates the desiredclient-side response from Identity Server 40, namely Output XML and XSLstylesheet references or Ouput XML and no XSL stylesheet references. Ifthe processing parameter is set to equal “xmlnoxsl,” Identity Server 40prepares a client-side processing response including Output XML and nostylesheet references. If the processing parameter is set to equal“xml,” Identity Server 40 prepares a client-side processing responseincluding both output XML and references to a set of XSL stylesheets theclient can access. If no processing parameter appears in the request,Identity Server 40 defaults to preparing a server-side processingresponse. In further embodiments, the request can also include aparameter expressly identifying a XSL stylesheet for Identity Server 40to employ in preparing either a server-side or client-side response.

In another version of the present invention, Identity Server 40 employsa predefined list to determine whether to provide client-side processingor server-side processing. The list identifies browsers that desireclient-side processing. If Identity Server 40 receives a request for abrowser on the list, Identity Server 40 performs client-side processing.Otherwise, Identity Server 40 performs server-side processing. In afurther embodiment, the list distinguishes between client-sideprocessing providing Output XML and XSL stylesheet references andclient-side processing providing Output XML and no XSL stylesheetreferences. The list may be updated by clients.

Once a response has been prepared, Identity Server 40 forwards theresponse to Web Server 20 (step 1622), which forwards the response tothe client (step 1624).

FIG. 36 shows the steps taken by Identity Server 40 in performing apre-processing operation (step 1604, FIG. 35). Identity Server 40retrieves a pointer to the pre-processing application from the eventcatalog (step 1640). Identity Server 40 then performs the pre-processingapplication (step 1642).

In order to perform request translation (step 1606, FIG. 35), IdentityServer 40 maintains program service 1660 and XML data registry 1670,which are both depicted in FIG. 37. Program service 1660 contains a listof the programs supported by applications running on Identity Server 40.Each function in the request corresponds to at least one program listedin program service 1660. Each program listing in program service 1660contains a pointer to a program, as well as any peripheral programs tobe performed in conjunction with the listed program. In alternateembodiments of the present invention, the peripheral programs can beidentified in the request or a register file in XML data registry 1670.An example of a peripheral program is the display of a navigation barthat accompanies the display of a request's results.

XML data registry 1670 contains registration files. Each registrationfile corresponds to at least one program or peripheral programs listedin program service 1660. Each registration file contains informationnecessary for structuring the output of a program's result. IdentityServer 40 maintains a set of XML templates 1672, XML schemas 1674, andXSL stylesheets 1676. Each registration file in data registry 1670contains a pointer to an XML template, an XML schema and XSL stylesheet.The application of templates and stylesheets will be explained below ingreater detail. Schemas provide information to Identity System users forestablishing display characteristics.

FIG. 38 illustrates steps performed by Identity Server 40 to translate arequest (step 1606, FIG. 35). In step 1700, Identity Server 40identifies programs corresponding to functions called for in therequest, including peripheral programs. For each program explicitlyidentified in the request, Identity Server 40 finds a correspondingentry in program service 1660. The corresponding entry contains apointer to the explicitly identified program, as well as pointers to allperipheral programs to be performed in conjunction with the explicitprogram. In one embodiment, all explicitly identified programs forworkflow related requests include peripheral programs for providing aworkflow function navigation bar, a search bar/window, and a standardnavigation bar. Other programs include peripheral programs for providinga standard navigation bar and a search window in a window with anydisplayed program results.

Identity Server 40 completes the request translation by retrieving XMLtemplates and XSL stylesheets. Identity Server 40 retrieves a XMLtemplate for each identified program and peripheral program (step 1702).Identity Server 40 retrieves each template from a register file in dataregistry 1670. Each register file corresponds to at least onecombination of an application and a program. Identity Server 40retrieves a XSL stylesheet for each identified program and peripheralprogram (step 1706). In one embodiment, Identity Server 40 retrieveseach stylesheet from the same register files containing the retrievedXML templates.

The following provides an example of a registration file in oneembodiment of the present invention:

© Oblix, Inc., 2001 <?xml version=“1.0”?> <ObProgramRegistry><ObApplication name=“the_application_name”> <ObProgramname=“a_program_name”> <ObButton name=“a_button_name”/> <ObButtonname=“yet_another_button_name”/> <ObButtonname=“and_maybe_more_button_names”/> . . . . . . <ObTemplatename=“templatename.xml”/> <ObStyleSheet name=“stylesheetname.xsl”/><ObSchema name=“XML_schema_name.xsd”/> </ObProgram> <ObProgramname=“another_program_name”> <ObStyleSheetname=“Its_stylesheetname.xsl”/> <ObButtonname=“a_button_associated_with_it”/> <ObSchemaname=“Its_XML_schema_name.xsd”/> </ObProgram> <ObProgramname=“and_so_on”> . . . . . . </ObProgram> . . . . . . </ObApplication></ObProgramRegistry>

The ObProgramRegistry directive identifies the file as a registrationfile. The ObApplication instruction identifies an application. TheObProgram instruction identifies a program. Identity Server 40 uses theObApplication and ObProgram values to identify the appropriate registerfile for retrieving a program's XML template, XML schema, and XSLstylesheet. For each program, Identity Server 40 locates the registerfile with the ObApplication and ObProgram values matching the request'sapplication and program (steps 1702 and 1706).

Information within an ObProgram directive provides the template, schemaand stylesheet for formatting a program's results as Output XML and anHTML document. The ObTemplate field specifies an XML template to be usedwith the program specified in the ObProgram field. The ObStyleSheetfield identifies the XSL stylesheet for the program. The ObSchema fieldidentifies the schema for the program. Identity Server 40 retrieves theidentified template and stylesheet in steps 1702 and 1706 for eachprogram identified in step 1700.

In further embodiments, the register file contains additionalinformation related to preparing an output display for a program'sresult. For example, one or multiple “ObButton” directives can beassociated with a program combination when a button is to be displayedalong with program results. The button field is used in preparing thebutton display for Identity Server 40. For example, it may beappropriate to display an acceptance button along with programresults—calling for a user to accept displayed data. A typical buttonidentifies the following characteristics: (1) graphical display; (2)mouse over text; and (3) link that will be invoked when the button isselected by the user. In one implementation, button information isdynamically determined, as opposed to being defined in a template.

The following is an example of an XML template employed with a programfor retrieving personal information for people with the last name Smith:

© Oblix, Inc., 2001 <?xml version=“1.0”?> <Company><PersonalInformation> <Email> <oblix:data attrname=“mail”/> </Email><Name> <oblix:attribute name=“Smith”> <oblix:data attrname=“sn”/></oblix:attribute> <oblix:data attrname=“cn”/> </Name></PersonalInformation> <oblix:link href=“location.xml”/> </Company>

This template indicates that a program retrieves personal informationfrom entries in a company's directory server that have a last name“Smith.” The personal information retrieved includes the person's e-mailand name. The XML template provides directives to obtain thisinformation. The <oblix:data attrname=“mail”/>directive specifies mailas an attribute name for the desired e-mail address value. The programresponds by replacing the <oblix:data attrname=“mail”/>element with thee-mail value retrieved by the program. This element is also referred toas a direct proxy value.

The <oblix:attribute name=“Smith”> <oblix:data attrname=“sn”/></oblix:attribute> directive calls for the program to select an entryfrom the directory server with a value in the surname (sn) attributecorresponding to “Smith.” The <oblix:data attrname=“cn”/> instruction isanother direct proxy calling for the complete name (cn) attribute in theselected entry. The <oblix:link href=“location.xml”/directive links thepresent template to another XML template specified by the location.xmlname.

The following shows the resulting XML template after the program hasbeen executed and the program fills in direct proxies in the XMLtemplate.

© Oblix, Inc., 2001 <?xml version=“1.0”?> <Company><PersonalInformation> <Email> j.smith@company.com </Email> <NamelastName=“Smith”> John Smith </Name> </PersonalInformation> <Location><FloorNumber value=“6”/> </Location> </Company>

The program located one person with a last name of Smith, namely JohnSmith. The program returned John Smith's e-mail as j.smith@company.comand John Smith's name as “John Smith.” The referenced “location.xml”template was also integrated into the existing template to indicate thatJohn Smith resides on the 6^(th) floor.

The use of templates and stylesheets provides users with a great deal offlexibility and control. Templates and stylesheets can be modified toaddress the unique needs of system users. Different system usersemploying the same programs can create different displays of theprogram's results. Users and/or system administrators implementcustomized templates and stylesheets in desired register files.

FIG. 39 provides a more detailed view of the steps taken by IdentityServer 40 to prepare an Output XML for a request using XML templates andattribute display characteristics (step 1610, FIG. 35). Identity Server40 first prepares an XML data structure (step 1730). The XML datastructure is an organization of data based on the XML templatescorresponding to the request's programs. The XML data structure combinesthe XML templates from each program to form a single data structure.This enables Identity Server 40 to provide a single response to arequest instead of a response for each program in the request.

Identity Server 40 maps data retrieved in performing the request'sprograms into the XML data structure. An example of an XML datastructure for the XML template shown above appears below in Table 5:

TABLE 5 Proxies Retrieved Attribute Values Email j.smith@company.comComplete Name John Smith

In the XML data structure, the left-hand column lists the names of dataserver entry attributes retrieved by the program. These are alsoreferred to as direct proxies. The right-hand column corresponds to theretrieved attribute values for the direct proxies. Identity Server 40fills each right-hand column cell with the corresponding data for thedirect proxy. As shown in Table 5 above, the direct proxy field for thee-mail address attribute is filled with the j.smith@company.com value,and the direct proxy field for the complete name attribute is filledwith John Smith.

In some instances, an XML template indirectly defines data to beretrieved—calling for data from an attribute based on the status ofanother attribute. For example, a search program may call for the nameand e-mail address for each direct report of John Smith. In thisexample, an entry's name and e-mail address attributes for a person arereturned, if another attribute in the entry identifies John Smith as theperson's direct manager. The XML template shown below supports thissearch:

<Person> <Direct Report> <Name> <oblix:data attrname=“cn”/> </Name><Email> <oblix:data attrname=“mail”/> </Email> </Direct Report></Person>

The above XML template indicates that a name and e-mail address is to beretrieved for each direct report of John Smith. In Directory Server 36,no entry identifies the direct reports of John Smith. Instead, the entryfor each person identifies the person's direct manager. Identity Server40 queries Directory Server entries and retrieves name and e-mailaddress information from those entries with John Smith in the directmanager attribute. The <oblix:data attrname=“cn”/> and <oblix:dataattrname=“mail”/>directives in the template are indirect proxy valuesfor the data to be retrieved by Identity Server 40.

Template elements calling for indirect proxies are also mapped into theXML data structure. Prior to mapping these elements into the XML datastructure, Identity Server 40 prepares a data structure identifying eachof the entries used to obtain the indirect proxy values. An example datastructure for the above XML template appears below in Table 6:

TABLE 6 Direct Report Entry Direct Report 1 Bob Smith Direct Report 2Gordon Smith

The indirection structure in Table 6 identifies the entries for BobSmith and Gordon Smith as direct reports of Bob Smith. This indicatesthat Identity Server 40 will retrieve indirect proxy values from thedata store entries for Bob Smith and Gordon Smith. Identity Server 40adds data for the indirect proxy values for the Bob Smith and GordonSmith entries to the XML data structure, which can contain both directand indirect proxies. The resulting XML data structure appears below inTable 7:

TABLE 7 Proxies Retrieved Attribute Values Email b.smith@company.comName Bob Smith Email g.smith@company.com Name Gordon Smith

The XML data structures shown above are just examples of XML datastructures that can be prepared in accordance with the presentinvention. As those skilled in the art will recognize, the contents ofXML data structures can vary widely as different XML templates andprograms are employed.

After preparing the XML data structure (step 1730, FIG. 39), IdentityServer 40 transforms the XML data structure into Output XML (step 1732).Identity Server 40 obtains attribute display characteristics for theretrieved attributes in the XML data structure. The displaycharacteristics establish the display format of attribute data in theXML data structure. Attribute display characteristics identify a displaytype and relevant information for the display. For example, a text boxdisplay type and the length of the text box.

In one embodiment, Identity Server 40 obtains attribute displaycharacteristics from directory entries in Directory Server 36. EachDirectory Server entry corresponds to a different attribute type. Foreach attribute, Identity Server 40 locates a corresponding directoryentry, which provides the attribute's display characteristics. In onesuch embodiment, a system administrator creates all the displayattribute directory entries when Identity System 40 is configured. Inalternate embodiments of the present invention, the directory entriesare replaced by tables, data structures, or other means that relatedisplay characteristics to attributes so the display characteristics canbe obtained by Identity Server 40.

As explained above, the Output XML is combined with XSL stylesheets toobtain HTML displays. XSL stylesheets interpret directives integratedinto the Output XML by the attribute display characteristics—providinginstructions to Identity Server 40 or any other processing engine toimplement the formatting called for by the attribute displaycharacteristics. For example, the attribute display characteristics mayhave integrated directives into the Output XML indicating that a name,such as John Smith, is to be displayed according to a particular type.The identified type corresponds to a set of instructions in an XSLstylesheet that direct a processor to display the value John Smith witha particular font and size. In one example, the display typeinstructions in the XSL stylesheet indicate that the name John Smith isto be displayed in an Arial font with 12 point typeface.

FIG. 40 illustrates steps for performing post-processing (step 1614,FIG. 35). These steps are very similar to the above-describedpre-processing operation (step 1604, FIG. 35). Identity Server 40retrieves a pointer to the post-processing application in the eventcatalog (step 1750). Identity Server 40 then performs thepost-processing application (step 1752).

By employing post-processing, a client can create a plug-in programrunning on Identity Server 40 that captures and modifies the Output XMLprior to Identity Server 40 returning a request response. This providesusers of Identity Server 40 with great flexibility and control over thecontent and format of request responses. For example, a user can modifythe Output XML to insert a customized display type directive or removeunwanted data.

FIG. 41 describes the operations performed by Identity Server 40 toprepare a client-side response (step 1620, FIG. 35). Identity Server 40determines whether the client wishes to receive references to a set ofXSL stylesheets (step 1780). If the client wishes to receive XSLstylesheet references, Identity Server 40 prepares a response includingOutput XML and the associated XSL stylesheet references (step 1784).Otherwise, Identity Server 40 prepares a response with Output XML and noXSL stylesheet references (1782). Client-side processing is useful inseveral applications. In one instance, a client may wish to receive onlyOutput XML for a third party application that does not require anydisplay. This makes the display rules and information in the stylesheetsuseless. In another instance, a client's browser may do a superior jobof combining Output XML and XSL stylesheets to form an output display.In this instance, client-side processing allows the client to use theirown browser to combine Output XML and XSL stylesheets. In oneembodiment, XSL stylesheet references are provided in the form ofUniform Resource Identifiers (also known as Uniform Resource Locators)in the Output XML.

FIG. 42 shows the operation of Identity Server 40 in preparing aserver-side response (step 1628, FIG. 35). Identity Server 40 combinesthe Output XML with its associated XSL stylesheets (step 1800). IdentityServer 40 then formats the resulting combination as an HTML outputdocument (step 1802).

One of the peripheral programs frequently performed in conjunction witha user's expressly requested program is the generation of a navigationbar. The navigation bar is displayed along with the result of a user'sexpressly identified program—enabling the user to navigate within therequest response and other related areas. For example, the navigationbar lets a user scroll through the text of the response and jump torelated data in Directory Server 36. Some implementations of IdentityServer 40, however, provide users with different levels of access toDirectory Server 36 and functions performed by Identity Server 40.Identity Server 40 provides for displaying different navigation barsbased on user access privileges.

FIG. 43 shows steps performed by Identity Server 40 that providedifferent navigation bars based on a user's access privileges. Asexplained above, Identity Server 40 retrieves a navigation barperipheral program from program service 1660 as part of the translationprocess (step 1606, FIG. 35 and step 1700, FIG. 38). Identity Server 40also retrieves an XML template and XSL stylesheet for the navigation barprogram (steps 1702 and 1706, FIG. 38). In one embodiment of the presentinvention, Identity Server 40 maintains a set of navigation bartemplates for a program, as opposed to a single navigation bar template.Each navigation bar template corresponds to a different user type whereeach user type has different access privileges. In retrieving an XMLtemplate for the navigation bar, Identity Server 40 carries out thesteps shown in FIG. 43. Identity Server 40 selects the navigation barXML template corresponding to the user issuing the request (step 1820).Identity Server 40 then selects portions of the navigation bar templatethat are relevant to the user's explicitly requested program (step1821). In some instances, portions of the selected navigation bartemplate may not be relevant to the request response. The selectedportions of the navigation bar template form the XML template for thenavigation bar program. Identity Server 40 employs the resulting XMLtemplate to prepare a response in the manner described above withrespect to FIGS. 35-42.

Requests for data received by the Identity System frequently requirerepeated access to the same entries in Directory Server 36. Continuallyretrieving this information through Directory Server 36 slows operationand wastes server bandwidth. Therefore, Identity Server 40 provides eachactive request with a cache to reduce the number of data store accesses.

Each request is assigned to a thread of operation. Each thread hasaccess to a small amount of memory in Identity Server 40 that isreferred to as thread local storage. FIG. 44 provides an illustration ofthread 1826, which resides in Identity Server 40 and contains threadlocal storage 1827. In accordance with the invention, thread localstorage 1827 contains cache pointer 1828, which points to cache object1829. Cache object 1829 is reserved for caching data from entries inDirectory Server 36 that are accessed by the request assigned to thread1826.

In one embodiment, cache object 1829 is a write through cache that isdeleted once a request completes operation in thread 1826. In oneimplementation, Identity Server 40 does not update cache object 1829 tomaintain coherency with either cache objects in other threads ofexecution or changes made to the data store by other threads ofexecution. Requests typically expect data retrieved during one segmentof the request's performance to remain the same, unless changed by therequest itself. In alternate embodiments of the present invention,Identity Server 40 updates cache object 1829 to maintain coherencybetween cache object 1829, the data store, and other cache objects.

FIG. 45 illustrates steps performed in one version of the invention toprovide request based caching. Web Server 20 receives a request (step1830) and assigns the request to thread of execution 1826 in IdentityServer 40 (step 1832). No request other than the one assigned to thread1826 has access to cache object 1829. At some point during the IdentityServer's execution of the request, the request calls for Identity Server40 to perform a data store access command (step 1833). At this point,Identity Server 40 begins implementing caching operations.

Identity Server 40 determines whether the request's data store commandis a query or a write to data store 36 (step 1834). Directory Server 36is referred to here as a data store, since there is nothing directoryserver specific in the request-based caching. The embodiment shown inFIG. 45 operates in many types of environments including flat files andRDBMS. If the attempted access is a query, Identity Server 40 determineswhether the queried entry is already stored in cache object 1829 (step1836). If the queried entry resides in cache object 1829, IdentityServer 40 retrieves the requested entry from cache 1829 (step 1840).Otherwise, Identity Server 40 retrieves the entry from the data storethrough data store 36 (step 1838). Identity Server 40 then copies theentry into cache object 1829 so the data will be available for lateraccesses (step 1842).

If the attempted data store access is a write (step 1834), IdentityServer 40 determines whether the requested memory location is stored incache object 1829 (step 1844). If the entry is stored in cache object1829, Identity Server 40 removes the old entry in cache object 1829(step 1846) and writes the data supplied by the request into cacheobject 1829 (step 1845). Identity Server 40 also writes the same datainto the data store (step 1848). If no cache entry exists for therequested entry, Identity Server 40 creates a space for the entry incache 1829 and writes the data to cache 1829 (step 1845). IdentityServer 40 also writes the data to the data store through data store 36(step 1848).

The process shown in FIG. 45, beginning with step 1833 described above,is repeated for each data store access command in a request. Once therequest is completed, cache object 1829 is destroyed.

As described above, clients submit requests to the Identity Systemasking for information on requesting tasks to be performed. Theserequests can be submitted via HTTP, XML documents, or other means. Insome embodiments of the present invention, multiple Identity Servers areemployed to increase the throughput of the Identity System. In suchembodiments, requests are assigned to Identity Servers so as to balancethe load of each Identity Server. In some instances a request mayexecute a function that requires a primary Identity Server handling therequest to communicate with another Identity Server.

One example of need for inter-server communications arises in cachingapplications. In some implementations, Identity Servers each maintaincaches for data that is frequently used by requests. For example, eachIdentity Server maintains a workflow definition cache containingworkflow data. When a request alters a workflow, the workflow definitioncache in every Identity Server must be flushed, since the cache data isno longer accurate. The primary Identity Server handling the requestmust communicate with all other Identity Servers to instruct them toflush their workflow definition caches. Identity Servers in oneembodiment of the present invention are equipped to perform suchinter-server communications.

FIG. 46 shows a block diagram of two identity servers that are equippedto communicate with each other in accordance with the present invention.Identity Server 1900 contains a set of function modules 1904. Eachfunction module contains instructions for carrying out a program thatmay be called for by a request. Function module set 1904 communicateswith a set of caches 1906. Caches in set 1906 contain data frequentlyused by function modules in set 1904. The following caches arerepresentative of those in set 1906: (1) Access Control Policy Cache;(2) System Specific Data Cache; (3) Workflow Definition Cache; (4) XStructure Cache; (5) Server Information Cache; (6) ApplicationInformation Cache; and (7) Master Audit Policy Cache.

Identity Server 1900 also includes management service 1910, managementregistry 1908, and request handler 1912. Management service 1910provides an application programming interface for functional modules tocall when remote access of another Identity Server is required.Management registry 1908 stores pointers to functions in set 1904. Inone embodiment of the present invention, management registry 1908 is ahash table. Request handler 1912 receives communication requests fromother identity servers.

Identity Server 1902 includes function module set 1914, cache set 1916,management service 1920, management registry 1918, and request handler1922. The components identified in Identity Server 1902 operate the sameas the similarly named components in Identity Server 1900.

Request handler 1912 is coupled to management service 1920 to receiveinter-server communications. Request handler 1922 is coupled tomanagement service 1910 to receive inter-server communications.

In one embodiment of the present invention, inter-server communicationsinclude a remote request to implement functions. In one such embodiment,function parameters accompanying a remote request are transferred amongidentity servers in a key-value format, which appears below:

{length}key=val{length}key=val

The “{” symbol indicates the beginning of a parameter. The “val” fieldis the parameter being passed. The “length” field identifies the numberof bytes in the val field. The “}” symbol indicates the end of thelength field. The “key” field identifies the name for the parameter. Inthis embodiment, each remote function is able to encode and decodekey-val parameters.

FIG. 47 illustrates steps for performing inter-server communications forone embodiment of the present invention. During the performance of auser request, a function module in set 1904 issues a request for aremote operation to management service 1910 (step 1940). Managementservice 1910 is referred to as the local management service, since itresides in the Identity Server where the remote request originated.Management service 1910 first processes any portion of the remoterequest that needs to be carried out locally in Identity Server 1900(step 1942). Next, remote Identity Server 1902 processes the remoterequest (step 1944). Steps 1942 and 1944 can be exchanged in alternateembodiments of the present invention so that remote Identity Server 1902services the remote request before local Identity Server 1900.

FIG. 48 illustrates steps taken by Identity Server 1900 to carry outlocal processing of the remote request (step 1942, FIG. 47). Managementservice 1910 determines whether the remote request requires any localoperations (step 1960). If a local operation is required, managementservice 1910 identifies a function module in set 1904 for carrying outthe local operation. Management service 1910 makes this identificationby supplying the requested local operation to management registry 1908.Management registry 1908 identifies the function module in set 1904 forcarrying out the requested local operation. Management service 1910executes the selected function module (step 1964).

After executing the local operation or if no local operation isrequired, management service 1910 opens a message channel for providingthe remote request to remote Identity Server 1902 (step 1966).Management service 1910 then issues the remote request to remoteIdentity Server 1902 (step 1968). In the embodiment shown in FIG. 46,management service 1910 opens up a communication channel with IdentityServer 1902 and provides the remote request to server 1902. In alternateembodiments, however, more than two Identity Servers are employed in theIdentity System. In such embodiments, local Identity Server 1900 opensmessage channels with all the other remote Identity Servers and issuesthe remote request to them.

FIG. 49 illustrates steps taken by a remote identity server, such asIdentity Server 1902, to respond to a remote request from anotherIdentity Server. Request handler 1922 receives the remote request fromlocal management service 1910 (stepl990). Request handler 1922identifies a function module in set 1914 for carrying out the remoterequest (step 1992). Request handler 1922 makes this identification bysupplying the remote request to management registry 1918, whichidentifies the corresponding function module in set 1914. Next, IdentityServer 1902 executes the identified function module (step 1994).

FIGS. 50 and 51 combine to show the steps taken by local and remoteIdentity Servers in response to function modules calling for cacheflushing. FIG. 50 illustrates steps taken by local Identity Server 1900to execute a function module for cache flushing (step 1964, FIG. 48).Identity Server 1900 blocks all new requests from being serviced (step2010). Identity Server 1900 then determines whether any requests arecurrently being serviced within Identity Server 1900 (step 2012). Ifrequests are currently being serviced, Identity Server 1900 waits untilthe servicing of all these requests has been completed (step 2012). OnceIdentity Server 1900 is no longer servicing any requests, IdentityServer 1900 sends a non-blocking cache flush request to remote IdentityServer 1902 (step 2013). A non-blocking request does not require localIdentity Server 1900 to wait for remote Identity Server 1902 to servicethe request before resuming local actions. Identity Server 1900 flushesthe identified cache in set 1906 (step 2014). After the flush, IdentityServer 1900 resumes servicing new requests (step 2016). In theembodiment shown in FIG. 50, step 2013 carries out steps 1966 and 1968shown in FIG. 48 by issuing a flush request to remote Identity Server1902. In alternate embodiments, step 2013 is removed and steps 1966 and1968 are carried out after local Identity Server 1900 flushes the localcache (step 2014) and unblocks new requests (step 2016).

FIG. 51 shows the operations executed by remote Identity Server 1902 toexecute a function module for flushing a cache in set 1916 (step 1994,FIG. 49). Remote Identity Server 1902 blocks all new requests from beingserviced (step 2040). Identity Server 1902 then determines whether anyrequests are currently being serviced (step 2042). If any requests arecurrently being serviced, Identity Server 1902 waits until the servicingof all these requests is complete (step 2042). Once all requestservicing is terminated, Identity Server 1902 flushes the identifiedcache in cache set 1916 (step 2044). Identity Server 1902 then resumesthe servicing of new requests (step 2046).

In one embodiment, the present invention provides for customizedcertificate management processes. Certificates are electronic documentsused to verify the identity of an entity such as a user, group ororganization. A well known standard defining certificate formats is theX.509 standard for certificates. In general, a certificate containsinformation about an entity, including a public key for performingencryption. A certificates holder maintains a secret copy of acorresponding private key that is used for decryption. Certificatesemployed in one embodiment of the present invention include thefollowing fields: (1) VEND—certificate's expiration date; (2)VSTART—certificate validity start date; (3) ISSUER—certificate holder'sdistinguished name (dn); (4) EMAIL—certificate holder's e-mail address;(5) SERIAL—certificate serial number; (6) VERSION—certificate versionnumber; (7) ALGOID—certificate algorithm identifier; (8)PUBLICKEY_ALGOID—public key algorithm identifier; (9) PUBLICKEY—publickey value of the certificate; (10) ISSUER_SIGNATURE_ID—certificateholder's signature algorithm identifier; and (11) SUBJECT—subject of thecertificate.

When a first person wants to establish a secure connection with a secondperson, the first person sends the second person their certificate. Thesecond person obtains the first person's public key from thecertificate. When sending messages to the first person, the secondperson uses the public key to encrypt the message. The first person usestheir private key to decrypt the message. The first person can provide asecure response to the second person by using the second person's publickey, which is attached to the second person's certificate.

Embodiments of the present invention provide for establishing differentsets of criteria for obtaining a certificate. For example, a high levelperson in an organization may have great need for access to confidentialcorporate information. The corporation may wish to issue this person acertificate without any more than a mere request being filed. On theother hand, entry level employees at a corporation may have very littleneed for access to confidential information. The corporation may wish tohave the entry level person's manager approve the issuance of acertificate. One embodiment of the integrated Access and Identity Systemof the present invention incorporates certificate management into theworkflow process so different standards for certificate management canbe applied among various entities. In one implementation, differentcertificate enrollment, renewal, and revocation workflows can be definedfor different types of system users.

FIG. 52 illustrates additional system modules used for supportingcertificate management through the workflow process. Identity Server 40includes certificate registration module 2072, which servicescertificate related requests from system users and administrators.Certificate registration module 2072 carries out workflow processesdefined by administrators to respond to users' requests for certificateenrollment, renewal and revocation. Directory Server 36 maintains a poolof certificates 2082 that are available for issuance to system users.When the system is initialized the administrator applies for a fixednumber of certificates that can be distributed to system users. Issuedcertificates are stored in Directory Server 36 and accessible tocertificate registration module 2072 through Directory Server 36.

The integrated Access and Identity System of the present invention alsoincludes Certificate Processing Server 2076, which is in communicationwith Identity Server 40 to communicate with certificate registrationmodule 2072. Certificate Processing Server 2076 issues certificatesigning requests to Certificate Authority 2084, which is external to theintegrated Access and Identity System and in communication withCertificate Processing Server 2076. Certificate Authority 2084 istypically a third party vendor that provides certificates, includingpairs of public and private keys for attachment to the certificates. Oneexample of a third party certificate provider is Verisign. CertificateProcessing Server 2076 is also in communication with signing device2078. Signing device 2078 digitally signs certificate signing requestsbefore they are issued to Certificate Authority 2084. Digitally signingcertificate signing requests heightens the level of security in theconnection between Certificate Processing Server 2076 and CertificateAuthority 2084. In one embodiment of the present invention, certificateregistration module 2072 communicates with Certificate Processing Server2076 via a secure SSL socket connection and Certificate ProcessingServer 2076 communicates with Certificate Authority 2084 via a secureSSL connection to enhance system security.

FIG. 53 illustrates the steps performed to respond to a user'scertificate related request in one implementation of the currentinvention. Examples of certificate related requests include enrollment,renewal or revocation request. Identity Server 40 receives thecertificate request (step 2100). Typically the request comes from theuser via Web Server 20. After receiving the request, Identity Server 40responds (step 2102). Certificate registration module 2072 respondsdifferently based upon the type of request operation being requested.The following FIGS. 54-59 illustrate responses of certificateregistration module 2072 to different types of certificate requests,namely requests for enrollment, renewal and revocation.

FIG. 54 illustrates how certificate registration module 2072 responds toa certificate enrollment request in one version of the invention (step2102, FIG. 53). Certificate registration module 2072 retrieves acertificate enrollment workflow that corresponds to the characteristicsof the requesting user (step 2120). The workflow contains a set ofdirectives that must be carried out for responding to the user'srequest. In one embodiment, there are multiple certificate enrollmentworkflows. Each workflow corresponds to a different set of usercharacteristics, such as job title and access privileges. Certificateregistration module 2072 selects the enrollment workflow matching thecharacteristics of the requesting user.

Certificate registration module 2072 proceeds with certificateenrollment in accordance with the workflow by retrieving information(step 2122). Examples of the information retrieved include informationfrom the user's identity profile and information from entitiesassociated with the user. Examples of entities associated with therequesting user include the requesting user's manager who also has anidentity profile in the Identity System and can be contacted by IdentityServer 40.

Certificate registration module 2072 also retrieves approval responses,indicating whether issuing a certificate to the requesting user isallowed (step 2124). For example, certificate registration module 2072,in one implementation, queries a user's manager to determine whether theuser is eligible to receive a certificate. If approval is not granted(step 2126), certificate registration module 2072 issues the requestinguser a rejection report (step 2130). If enrollment is approved (step2126), certificate registration module 2072 obtains a certificate forthe user (step 2128). In another embodiment, approval can be based oncomparing an LDAP filter to the attributes of the user's identityprofile.

In accordance with the present invention, system administrators are ableto define different workflows for different users—making many variationsof the above-described certificate enrollment process possible. Inalternate implementations, the workflow does not call for retrievinginformation or obtaining approval responses. Certificate registrationmodule 2072 immediately moves to obtain a certificate for the user (step2128).

FIG. 55 illustrates operations performed to obtain a certificate for arequesting user (step 2128, FIG. 54). Certificate registration module2070 authenticates the requesting user (step 2152). In one embodiment,authentication is performed by the Access System. In alternateembodiments, certificate registration module 2072 authenticates the userbased on challenge information collected during information retrieval(step 2122, FIG. 54). In an alternate implementation, certificationregistration module 2072 authenticates the user from information in theuser's cookie. Certificate registration module 2072 forwards acertificate request to Certificate Processing Server 2076 (step 2154).

Certificate Processing Server 2076 obtains a digital signature for therequest from signing device 2078 (step 2160). Certificate ProcessingServer 2076 then forwards the digitally signed request as a certificatesigning request to Certificate Authority 2084 (step 2162). CertificateAuthority 2084 responds by creating a certificate (step 2164) andforwarding the certificate to Certificate Processing Server 2076 (step2166). Certificate Processing Server 2076 forwards the certificate tocertificate registration module 2072 (step 2170). Certificateregistration module 2072 stores the new certificate in certificate datastore location 2082 (step 2156). Certificate registration module 2072then notifies the user that the certificate is in place (step 2158).

Once a certificate has been issued it is typically valid for apredetermined period of time, such as one year. After the time periodexpires, the certificate holder must renew the certificate. In oneembodiment of the present invention, the certificate holder renews thecertificate by submitting a certificate renewal request to IdentityServer 40. This request is handled by certificate registration module2072 in essentially the same manner as described above for certificateenrollment. The same process is applicable, because the renewal of acertificate is essentially the same as enrollment. When a certificate isrenewed, Certificate Authority 2084 generates a new private key-publickey pair, in essence creating a new certificate without increasing thetotal number of certificates issued to the Identity System. The onlydifference is that Certificate Processing Server 2076 informsCertificate Authority 2084 that a certificate is to be renewed, asopposed to a new certificate being issued.

When a new certificate is issued through enrollment or a certificate isrenewed, the system administrator informs the user that the certificateis ready for pick-up. The administrator can send the user an e-mailindicating the certificate is available on a floppy disk in theadministrator's office. The user then goes to the administrator's officeand picks up the floppy disk with the certificate. The user's copy ofthe certificate includes the private key, which is not available in thecertificate maintained in certificate data store 2082. After picking upthe certificate, the user installs the certificate in his/her clientdevice's browser. The copy of the certificate in certificate data storelocation 2082 is available for system users to view and obtain thecertificate holder's public key information.

In an alternate embodiment of the present invention, an automaticrenewal option is provided. In response to an automatic renewal request,renewal is based solely on authenticating the requesting user. No datacollection or additional approval is required. FIG. 56 illustrates oneset of steps taken by certificate registration module 2072 to respond toan automatic renewal request (step 2102, FIG. 53). Certificateregistration module 2072 retrieves the automatic renewal certificateworkflow for the user (step 2190). In one embodiment, there are multipleautomatic renewal workflows with each workflow corresponding to adifferent set of user characteristics. Certificate registration module2072 selects the workflow that matches the characteristics of the user.Certificate registration module 2072 then obtains the renewalcertificate (step 2192).

FIG. 57 illustrates steps taken to obtain the automatic renewalcertificate (step 2192, FIG. 56). Certificate registration module 2072authenticates the requesting user (step 2212). This authentication canbe performed as explained above for the enrollment process. In anotherimplementation, the user encrypts the request using a private key andcertificate registration module 2072 is able to decrypt the messageusing a corresponding public key. In an alternate embodiment, the userenters a challenge phrase along with the request to provideauthentication. Certificate registration module 2072 forwards theautomatic renewal request to Certificate Processing Server 2076 (step2214). Certificate Processing Server 2076 obtains a digital signaturefor the request (step 2220). Certificate Processing Server 2076 forwardsthe request to Certificate Authority 2084 as a certificate signingrequest (step 2222). Certificate Authority 2084 provides a renewalacknowledgement to Certificate Processing Server 2076 (step 2224).Certificate Processing Server 2076 forwards the renewal acknowledgementto certificate registration module 2072 (step 2226). Certificateregistration module 2072 updates the certificate in the data store (step2217) and notifies the user of the certificate renewal (step 2218). Inthe automatic renewal process described above, a new public key-privatekey pair is not issued for the certificate. In alternate embodiments, anew key pair is issued as described with reference to FIG. 55.

FIG. 58 illustrates steps taken by certificate registration module 2076to respond to a certificate revocation request (step 2102, FIG. 53).Certificate registration module 2072 retrieves a certificate workflowthat corresponds to the requesting user for revoking the user'scertificate (step 2250). In one embodiment, there are multiplerevocation workflows with each workflow corresponding to a different setof user characteristics. Certificate registration module 2072 selectsthe revocation workflow matching the requesting user's characteristics.Using the workflow process, certificate registration module 2072 obtainscertificate revocation (step 2252).

FIG. 59 illustrates steps taken by certificate registration module 2072to obtain certificate revocation (step 2252, FIG. 58). Certificateregistration module 2072 authenticates the requesting user, as describedabove (step 2272). Certificate registration module 2072 forwards thecertificate revocation request to Certificate Processing Server 2076(step 2274). Certificate Processing Server 2076 obtains a digitalsignature for the request from signing device 2078 to form a certificatesigning request (step 2276). Certificate Processing Server 2076 thenforwards the certificate signing request to Certificate Authority 2084(step 2278). Certificate Authority 2284 forwards the revocationacknowledgement to Certificate Processing Server 2076 (step 2080).Certificate Processing Server 2076 then forwards the revocationacknowledgement to certificate registration module 2072 (step 2282).

The system administrator is responsible for verifying that acertification has been successfully revoked. In one embodiment, thesystem administrator reviews a certificate revocation list provided byCertificate Authority 2084. Certificate Authority 2084 makesarrangements with the system administrator to determine the frequency atwhich the certificate revocation list will be updated. Alternatively,the system administrator employs an Online Certificate Status Protocol(“OCSP”) to check the status of a certificate revocation in real timethrough an online connection with Certificate Authority 2084. OCSP is areal time protocol provided by Certificate Authority 1084 that enablesapplications to check the status of certificates with the CertificateAuthority. One Certificate Authority that provides such a protocol isVerisign.

It is important to note that revoking a certificate does not result inthe certificate being deleted from certificate data store location 2082.Revoked certificates remain in the data store until Identity Server 40deletes the certificate, which can be done through a change attributeworkflow.

The following table provides example workflows for certificateenrollment, revocation and renewal.

TABLE 8 Workflow Actions Certificate Enrollment cert_initiate_enrollprovide_info (optional) approval/provide_approval (optional)cert_generate_certificate Certificate Renewal cert_initiate_renewprovide_info (optional) approval/provide_approval (optional)cert_generate_certificate Certificate Revocation cert_initiate_revokecert_revoke_certificate

The first action in the certificate enrollment workflow iscert_initiate_enroll, which includes certificate registration module2072 presenting the requesting user with a certificate enrollmentpage—indicating that certificate enrollment process is under way. In oneembodiment, the user's browser responds by submitting the certificateenrollment page back to certificate registration module 2072.

The provide_info action calls for certificate registration module 2072to retrieve information from either the user or an entity affiliatedwith the user, as described above. The enrollment workflow can alsocontain either an approval action or a provide_approval action. Theapproval action requires certificate registration module 2072 to obtainapproval for certificate issuance from an entity, such as someoneaffiliated with the user. For the provide_approval action, certificateregistration module 2072 obtains information along with the approval.The provide-info, approval, and provide_approval actions are optional.

The cert_generate_certificate action in the enrollment workflow causescertificate registration module 2072 to obtain a certificate. As shownabove, certificate registration module 2072 obtains certificates withthe assistance of Certificate Processing Server 2076 and CertificateAuthority 2084.

The actions in the certificate renewal workflow are essentially the sameas those in the enrollment workflow with the exception ofcert_initiate_enroll being replaced by cert_initiate_renew. Thecert_initiate_renew action causes certificate registration module 2072to present the user with a request to renew button. Certificateregistration module 2072 provides this button when there is apredetermined period of time remaining before an existing certificateexpires. The user requests the renewal of a certificate by selecting thebutton, and certificate registration module 2072 provides the user witha renewal page to be submitted as a renewal request.

The cert_initiate_revoke action enables certificate registration module2072 to accept a revocation request. The cert_revoke_certificate actioncauses certificate registration module 2072 to carryout the revocationprocess through Certificate Processing Server 2076 and CertificateAuthority 2084.

As shown above, several of the workflow actions are optional. Theflexibility to add different steps to workflows makes certificatemanagement very flexible. System administrators can create differentcertificate related workflows for different types of users. For example,a particular type of user may be automatically granted a certificateupon requesting enrollment—requiring the workflow to include only thecert_initiate_enroll and cert_generate_certificate actions.Alternatively, another type of user may require approval before acertificate is issued—requiring the workflow to include an approval orprovide-approval action. In further embodiments, system administratorscan also initiate certificate related requests on behalf of systemusers.

As described above, Identity Server 40 maintains public copies ofcertificates in certificate data store location 2082. Identity Systemusers issue requests to Identity Server 40 to export or display thecertificates. In one embodiment of the present invention, the IdentitySystem maintains real time status information about the certificates, sousers are not unknowingly importing or viewing expired certificates.Maintaining this status information is beneficial, because certificatestatus is a dynamic value that cannot typically be provided in acertificate field.

FIG. 59A shows a sequence of steps performed by Identity Server 40 toobtain and maintain real time certificate status in one implementationof the present invention. Identity Sever 40 retrieves real time statusfor a certificate (step 3400). Identity Server 40 retrieves the statusfrom Certificate Authority 2084 using a real time protocol. One exampleof a real time protocol is the well known OCSP protocol identifiedabove. The retrieved status indicates whether the certificate is valid,expired, or revoked. In one implementation, Identity Server 40 retrievescertificate status directly from Certificate Authority 2084. In analternate implementation, Identity Server 40 retrieves certificatestatus from Certificate Authority 2084 through Certificate ProcessingServer 2076.

Identity Server 40 stores the retrieved certificate status in DirectoryServer 36 (step 3402). Identity Server 40 also stores validationinformation for the certificate in Directory Server 36 (step 3404). Inone implementation, the validation information includes: 1) StatusRetrieval Time—indicating the time that Identity Server 40 retrieved thecertificate's real time status in step 3400 and 2) ValidationInterval—indicating a time period extending from the Status RetrievalTime. In one embodiment of the present invention, the ValidationInterval is set to a value of zero, if the certificate's status is notvalid.

In one embodiment, Identity Server 40 performs the sequence of stepsshown in FIG. 59A in response to a request from a user or systemadministrator that identifies a certificate. In alternate embodiments,Identity Server 40 also automatically carries out the steps in FIG. 59Aat predetermined time intervals.

FIG. 59B illustrates a sequence of steps carried out by Identity Server40 to export a certificate in one version of the present invention.Identity Server 40 receives a user request via Web Server 20 to export acertificate from certificate data store location 2082 (step 3420).Identity Server 40 determines whether to check the status of therequested certificate (step 3422). In one implementation, IdentityServer 40 makes this determination by querying a parameter field in theIdentity System. This parameter field can be set by a systemadministrator during system configuration.

If a status check is not required, Identity Server 40 exports therequested certificate to the user via Web Server 20 (step 3434).Otherwise, Identity Server 40 determines whether a real time statuscheck of the certificate is required (step 3424). Identity Server 40also makes this determination in one embodiment by querying an IdentitySystem parameter field. If a real time status check is required,Identity System 40 retrieves the requested certificate's real timestatus from Certificate Authority 2084, as described above withreference to FIG. 59A. In some embodiments, Identity Server 40 alsostores the retrieved real time certificate status and related validationinformation as shown in FIG. 59A. Identity Server 40 determines whetherthe certificate's real time status is valid (step 3430). If the statusis valid, Identity Server 40 exports the certificate (step 3434).Otherwise, Identity Server 40 issues an error message to the user (step3432).

If real time status checking was not required (step 3424), IdentityServer 40 determines whether the user's export request falls within theValidation Interval for the certificate (step 3428). As explained above,the Validation Interval is a window of time extending from the last timethe certificate's real time status was retrieved. In one embodiment, theValidation Interval is one hour. In various embodiments, the ValidationInterval has many different values. As the Validation Interval isreduced, the probability increases that the stored real time status forthe certificate is still accurate. If the export request falls withinthe Validation Interval, Identity Server 40 exports the requestedcertificate (step 3434). Otherwise, Identity Server 40 issues an errormessage to the user (step 3432). By employing stored real timecertificate status, Identity System 40 can supply real time status forlarge numbers of certificates. In one embodiment, the ValidationInterval is zero for a certificate that is not valid—resulting inIdentity Server 40 issuing an error message in response to thedetermination in step 3428.

FIG. 59C illustrates a sequence of steps executed by Identity Server 40to display certificate information in one embodiment of the presentinvention. Identity Server 40 receives a user request via Web Server 20to display a certificate in data store location 2082 (step 3450).Identity Server 40 determines whether certificate status is to bedisplayed along with the certificate (step 3452). In one implementation,Identity Server 40 makes this determination by querying a parameterfield in the Identity System set by the Identity System administrator.

If certificate status is not required (step 3452), Identity Server 40identifies the fields in the requested certificate that are to bedisplayed (step 3460). Identity Server 40 identifies these fields in oneembodiment by querying a set of parameters in the Identity System thatare programmed by the Identity System administrator. Identity System 40then displays the identified fields from the certificate without anycertificate status (step 3466).

If certificate status is required (step 3452), Identity Server 40determines whether a real time certificate status check is required(step 3454). Identity Server 40 makes this determination in oneimplementation by querying an Identity System parameter field. If a realtime status check is required, Identity Server 40 retrieves a new realtime status for the certificate (step 3456), as described above withreference to FIG. 59A. In some implementations, Identity Server 40 alsostores the status and validation information as shown in FIG. 59A. If areal time status check is not required (step 3454), Identity Server 40retrieves previously obtained real time status that is stored in theIdentity System for the certificate (step 3458).

Identity Server 40 identifies the fields in the requested certificatethat are to be displayed after obtaining certificate status in real timeor from storage (step 3462). Identity Server 40 then displays theidentified fields for the certificate and the certificate's status (step3464).

The operations described above in FIGS. 59A-59C can also be employed toprovide users with dynamic certificate related information other thancertificate status. Examples of other dynamic information includecertificate policies and certificate costs.

The discussions above regarding workflows, groups, communication betweenIdentity Servers, etc., primarily pertain to managing and using theIdentity System. As stated above, the Identity System manages identityprofiles. These identity profiles are used, among other things, toauthenticate users and to authorize users to access resources. TheAccess System has primary responsibility for providing authenticationand authorization services. In one embodiment, authentication andauthorization services are performed based on using identity profileswith authentication and authorization rules. These authentication andauthorization rules are associated with policy domains and policies, asdescribed above.

FIG. 60 is a flow chart, which describes the process of creating apolicy domain. In step 2400, the Access System receives a request tocreate a policy domain. In step 2402, the name of the policy domain andthe description of the policy name are stored. In step 2404, one or moreURL prefixes are added to the policy domain. In step 2405, one or morehost ID's are added to the policy domain (optional). Next, one or moreaccess rules are added to the policy domain (steps 2406 and 2408). Anaccess rule is a rule about accessing a resource. Examples of accessrules include authorization rules, authentication rules, auditing rules,and other rules, which are used during the process of attempting toaccess a resource.

In step 2406, a first level (default) authentication rule is added tothe policy domain. In general, authentication is the process ofverifying the identity of the user. Authentication rules specify thechallenge method by which end users requesting access to a resource inthe policy domain must prove their identity (authentication). Aspreviously discussed, first level (default) authentication rules applyto all resources in a policy domain, while second level authenticationrules are associated with policies that apply to subsets of resources orspecific resources in the policy domain. In one embodiment, there isonly one default authentication rule for a policy domain. If anadministrator desires an authentication rule to apply to only a specificresource in the policy domain, a separate policy for that specificresource having a second level (specific) authentication rule should bedefined.

After setting up the authentication rule in step 2406, one or more firstlevel or default authorization rules are added to the policy domain instep 2408. In general, an authorization rule determines who can access aresource. The default authorization rule allows or denies users accessto resources within its applicable policy domain. If multipleauthorization rules are created, then they are evaluated in an orderspecified in step 2410. In step 2412, a first level (default) audit ruleis configured for the policy domain. In step 2414, zero or more policiesare added to the policy domain. In step 2416, the data for the policydomain is stored in Directory Server 36 and appropriate caches(optional) are updated. In one embodiment, an authorization rule or anauthentication rule can be set up to take no action. That is, alwaysgrant authentication without any challenge or verification; or alwaysgrant authorization without any verification.

FIG. 61 is a flow chart describing the process of adding one or moreauthorization rules to a policy domain. In step 2432, timing conditionsare set up for the authorization rule. Timing conditions restrict thetime when the authorization rule is in effect. For example, users can beallowed access to URLs in the policy domain only during business hours,Monday through Friday. In one embodiment, if timing conditions are notset, the authorization rule is always in effect. The timing conditionsfor establishing the time a rule is valid include: (1) selecting a startdate and an end date, (2) selecting a start time and an end time, (3)selecting the months of the year, (4) selecting the days of the month,and (5) selecting days of the week.

In steps 2434 and 2436, authorization actions are set up. Authorizationactions personalize the end user's interaction with the Web Server. Instep 2434, header variables are provided for authorization successevents and authorization failure events. This feature allows for thepassing of header variables about the end user (or other information) toother web-enabled resources. Web-enabled applications can personalizethe end user's interaction with the Web Server using these headervariables. As a simple example, the actions could supply eachapplication with the user's name. An application could then greet theuser with the message “hello <user's name>” whenever the user logs on.Header variables are variables that are part of an HTTP request. If anauthorization rule is set up with header variables as part of anauthorization success action, a successful authorization causes the HTTPrequest to the resource to include the header variables. Similarly, ifthere are header variables for an authorization failure, anauthorization failure event includes adding header variables to the HTTPrequest that redirects a browser to an authorization failure web page.The resources identified by the HTTP requests that include the headervariables can use the header variables any way desired. In oneembodiment of the method of FIG. 61, one or more groups can be specifiedfor authorization to the resource(s).

FIG. 62 is a flow chart that describes the process of adding headervariables to an HTTP request. Header variables can be added during anauthorization success event, authorization failure event, authenticationsuccess event or authentication failure event. In step 2450, thevariable name is entered. In step 2452, a text string is entered. Instep 2454, one or more LDAP attributes are entered. In step 2456, it isdetermined whether any more header variables will be added. If not, themethod of FIG. 62 is done (step 2458). If so, the method of FIG. 62loops back to step 2450.

The variable name entered in step 2450 is a value that appears in theHTTP header to name the variable. The downstream resource using theheader variable searches for the variable name. The string entered isdata that can be used by the downstream resource. The LDAP attribute(s)can be one or more attributes from the requesting user's identityprofile. Thus, the following can occur in the simple authorizationsuccess example described above: (1) the variable name field can include“authorization success,” (2) the return field can include “yes,” and (3)the attribute field can include the name attribute for the user in theuser's identity profile. Any of the attributes from the user's identityprofile can be selected as a header variable.

Looking back at FIG. 61, in step 2436, a redirect URL can be added foran authorization success event and a redirect URL can be entered for anauthorization failure event. Step 2438 includes specifying the usersallowed to access the resource associated with the authorization rule.By default, users cannot access a resource until they are granted accessrights. In one embodiment, there are at least four means for specifyingwho can access a resource. The first means is to explicitly name a setof users who can access the resource. A second means includesidentifying user roles. The third means is to enter an LDAP rule thatcan be used to identify a set of users based on a combination of one ormore attributes. A fourth means is to enter an IP address, which allowsusers of computers having the specified IP address to access theresource.

Step 2440 is used to specify the users not allowed to access theresource associated with this rule. Identification of users, roles, LDAPrules, and IP addresses are entered in step 2440 in the same manner asentered in step 2438. It is possible that a particular user can besubject to both an allow access rule and a deny access rule. Step 2442is used to set a priority between such rules. Optional step 2444 is usedto define any POST data to be used for authorization if this feature isimplemented. An HTTP POST request can include POST data in the body ofthe HTTP request. POST data can also be submitted in query string form.One embodiment of the present invention allows POST data to be used forauthorization purposes.

In optional step 2444, an administrator defines which POST data is to beused for authorization purposes. If POST data is to be used forauthorization to satisfy an authorization rule, the POST request mustinclude all the appropriate POST data and values for that POST data asdefined in step 2444. However, it will be understood that POST data neednot be used for authorization in all embodiments of the presentinvention. Step 2446 is used to set a priority of evaluation for theauthorization rule relative to other authorization rules in a givenpolicy. In one embodiment, if multiple authorization rules apply to aresource, this priority determines the order of evaluation.

FIG. 63 is a flow chart describing the process for adding anauthentication rule. In step 2470, a challenge scheme (also called anauthentication scheme) is selected. An authentication scheme is a methodfor requesting log-on information (e.g. name and password) from endusers trying to access a web resource. Within an authentication schemeis a challenge method (e.g. Basic, certificate or form). There can bemore than one authentication scheme with the same challenge method (e.g.Basic over LDAP, Basic over NT Domain, . . . ). Various otherauthentication schemes can also be used. In step 2472, header variablesare added for authentication success and authentication failure events.In step 2474, redirect URLs are added for authentication success eventsand authentication failure events.

FIG. 64 is a flow chart describing the process of adding a policy. Instep 2518, a resource type is specified. The resource type allowsdifferent resources to be handled by different policies, depending onthe nature of the resource itself. For example, in one embodiment, theresource type will distinguish between resources accessed using HTTP andresources accessed using FTP. In one embodiment, Enterprise Java Beans(EJBs) are a possible resource type. In another embodiment, user-definedcustom resource types are supported. In step 2520, an operation type isspecified. This allows different resources to be handled by differentpolicies, depending on the operations used to request the resource. Inone embodiment, the operations will be HTTP requests. Supported HTTPrequest methods include GET, POST, PUT, HEAD, DELETE, TRACE, OPTIONS,CONNECT, and OTHER. In another embodiment, if EJBs are identified as theresource type, an EXECUTE operation can be specified in step 2520. Inanother embodiment, user-defined custom operations are supported. Otherand future operations can also be supported.

In step 2522, a pattern for the URL path (or other type of path) towhich the policy applies is specified. This is the part of URL that doesnot include the scheme (“http”) and host/domain (“www.oblix.com”), andappears before a ‘?’ character in the URL. In step 2524, a query stringis specified. This is a set of variables and values that must beincluded in the specified order in an incoming URL for the policy tomatch and be activated. For example, in the URL

“HTTP://www.zoo.com/animals.cgi?uid=maneaters&tigers=2”

The values after the question mark (e.g. “uid=maneaters&tigers=2”)comprise a query string. Only a URL exhibiting the query string canmatch to this policy. For example, a URL with the “tigers” variableappearing before the “uid” variable will not match the above-identifiedpolicy.

In step 2526, query string variables are added. Query string variablesinclude a name of a variable and the variable's corresponding value.Query string variables are used when it is desirable for multiplevariables to be found in the query string, but the order is unimportant.Thus, for a policy with query string variables “uid=maneaters” and“tigers=2,” a URL with a query string having the appropriate uid andappropriate tigers variable, in any order, will match the policy. Inorder for a resource URL to apply to a policy, the path of the requestedresource URL must match the path of the policy as well as any querystring or query variables. As discussed above, POST data can besubmitted in query string form (for example, in a form submission), andevaluated using the query string variables entered in step 2526.

The query string or query variables specified in the steps of FIG. 64 donot need to uniquely identify a resource. Rather, they are used toidentify a policy, which may apply to one or more resources.

Typically, the query data is added to a URL to access certain data froma resource. However, the query data can be used in the URL to identifythe resource. Each application or resource is free to use the query datain any way that is in agreement with standards and norms known in theart.

In step 2528 of FIG. 64, the authentication rule is created inaccordance with the method of FIG. 63. In step 2530, one or moreauthorization rules are created for the policy in accordance with themethod of FIG. 61. In step 2532, an audit rule for the policy isconfigured. In step 2534, POST data (optional) is added to the policy.This POST data is used to map resources with policies.

The present invention supports the use of multiple authenticationschemes. An authentication scheme comprises an authentication level, achallenge method, an SSL assertion parameter, a challenge redirectparameter, and authentication plug-ins. The authentication levelrepresents an arbitrary designation of the level of confidence that anadministrator has in a particular authentication scheme relative toother authentication schemes.

In one embodiment of the present invention, an authentication scheme canspecify one of four challenge methods: none, basic, form, and X.509. Ifan authentication scheme's challenge method is set to “none,” noauthentication is required to access a requested resource, thus allowingsupport for unauthenticated users. This challenge method can be usedover both unsecured as well as SSL connections. The “basic” challengemethod can also be used over both unsecured and SSL connections. The“X.509” challenge method can be used over an SSL connection between auser's browser and Web Server host. A “form” challenge method employs acustom, site-specific HTML form presented to the user, who entersinformation and submits the form. Subsequent processing is determined bythe administrator at the time the authentication scheme is created. Formchallenge methods can be used over both unsecured and SSL connections.

The SSL parameter of an authentication scheme identifies whether SSL isto be asserted on the connection to the user's browser by the WebServer. The challenge parameter identifies where to redirect a requestfor authentication for the particular authentication scheme.Authentication plug-ins are necessary for processing the user's suppliedinformation. Authentication plug-ins can interface with Access Server 34through an authentication API.

An authentication scheme that an attacker can easily and profitabilityeavesdrop upon is typically considered “weak.” In one embodiment, thebasic authentication challenge method places the user's credential(supplied information), a simple password, “in the clear” over anunsecured network connection. However, the authentication scheme can bemade stronger by passing the user's credential over an encryptedconnection, such as SSL. In one embodiment, given two authenticationschemes (one with and one without SSL), an access administrator willassign the authentication scheme without SSL to a lower authenticationlevel than the authentication using SSL.

When a user first requests a protected resource, the user is challengedaccording to either: (1) the authentication scheme defined by the firstlevel authentication rule in the applicable policy domain, or (2) thesecond level authentication rule in the applicable policy associatedwith the requested resource. If the user satisfies the authenticationrule, an encrypted authentication cookie is passed to the user's browserindicating a successful authentication. Once authenticated, the user mayrequest a second resource protected by a different policy domain and/orpolicy with a different authentication rule. The user is allowed accessto the second resource without re-authenticating under the followingcondition: the authentication level of the authentication scheme used tosuccessfully authenticate for the first resource is equal to or greaterthan the authentication level of the authentication scheme of the secondresource. Otherwise, the user is challenged and asked to re-authenticatefor the second resource in accordance with the second resource's higherlevel authentication scheme. Satisfaction of a higher or lowerauthentication level is determined by evaluating the authenticationcookie sent by the user's browser when requesting the second resource.In one embodiment of the present invention, administrators can define anunlimited number of authentication levels.

Once authenticated, a user can explicitly log out, causingauthentication cookies cached (or otherwise stored) by the user'sbrowser to be destroyed or become invalid. Authentication cookies canalso be set by an administrator to be destroyed after a maximum idletime has elapsed between requests to resources protected in accordancewith the present invention.

FIG. 65 provides a flow chart for one embodiment of a method forauthenticating, authorizing, and logging. In step 2550, a user's browser12 requests a web-enabled resource 22 or 24. The request is interceptedby Web Gate 28 in step 2552. The method then determines whether therequested resource is protected by an authentication and/orauthorization rule in step 2553. If the resource is not protected, thenaccess is granted to the requested resource in step 2595. If therequested resource is protected, however, the method proceeds to step2554. If the user has previously authenticated for a protected resourcein the same domain, a valid authentication cookie is passed by browser12 with the request in step 2550. The authentication cookie isintercepted by Web Gate in step 2552. If a valid cookie is received(step 2554), the method attempts to authorize the user in step 2556. Ifno valid authentication cookie is received (step 2554), the methodattempts to authenticate the user for the requested resource (step2560).

If the user successfully authenticates for the requested resource (step2562), then the method proceeds to step 2574. Otherwise, theunsuccessful authentication is logged in step 2564. After step 2564, thesystem then performs authentication failure actions and Web Gate 28denies the user access to the requested resource in step 2566. In step2574, the successful authentication of the user for the resource islogged. The method then performs authentication success actions in step2576. In response to the successful authentication, Web Gate 28 thenpasses a valid authentication cookie to browser 12 (step 2580), whichstores the cookie. After passing the cookie in step 2580, the systemattempts to authorize in step 2556.

In step 2556, the method determines whether the user is authorized toaccess the requested resource. If the user is authorized (step 2590),the method proceeds to step 2592. Otherwise, the unsuccessfulauthorization is logged in step 2596. After step 2596, the methodperforms authorization failure actions (step 2598) and Web Gate 28denies the user access to the requested resource. If authorization issuccessful (step 2590), then the successful authorization of the user islogged in step 2592. Authorization success actions are performed in step2594. The user is granted access to the requested resource in step 2595.In one embodiment of step 2595, some or all of HTTP request informationis provided to the resource. In one or more scenarios, the resourcebeing accessed is the Identity System.

FIG. 66 provides a flow chart of a method for determining whether arequested resource is protected. In step 2630, Web Gate 28 determineswhether an entry for the requested resource is found in a resourcecache. If an entry is found, the cache entry is examined in step 2642 todetermine whether the cache entry indicates that the resource isprotected (step 2632) or unprotected (step 2640). If an entry for therequested resource is not found in the resource cache, then Web Gate 28passes the URL of the requested resource request method to Access Server34 in step 2633. Access Server 34 attempts to map the requested resourceto a policy domain (step 2636).

If mapping step 2636 is unsuccessful (step 2638), then the requestedresource is deemed to be unprotected (step 2640). However, if asuccessful mapping has occurred (step 2638), then Access Server 34retrieves the authentication rule (step 2644) and audit rule (step 2646)associated with the requested resource. Access Server 34 then passes theauthentication scheme ID from the authentication rule, audit mask, andany POST data received to Web Gate 28 in step 2648. Web Gate 28 cachesthe authentication scheme ID from the authentication rule, audit mask,and POST data in the resource cache (step 2650). Since the requestedresource was successfully mapped to a policy domain in step 2636, theresource is deemed protected (step 2632).

FIG. 67 is a flow chart describing the process for mapping a resource toa policy domain. In step 2700, Access Server 34 receives the URL of therequested resource from Web Gate 28. Access Server 34 then compares aURL prefix of the requested resource with entries in a URL prefix cachein step 2702. In one embodiment, when step 2702 is called for the firsttime, the URL prefix of the requested resource equals the file name.Thus, if the URL of the requested resource reads:“http://www.oblix.com/oblix/sales/index.html” then the URL prefix firstcompared by step 2702 will be: “/oblix/sales/index.html.” If a matchingURL prefix is found (step 2704), Access Server 34 proceeds to step 2716.

In step 2716, Access Server 34 determines whether the policy domainassociated with the matching URL prefix calls for one or more host ID's.In one embodiment, resources are mapped to certain policy domains if theport number of a resource request and the location of the resourceitself conform to one or more host ID's. Thus, multiple policy domainscan be associated with identical URL prefixes, each policy domainrequiring different host ID's (or none at all). If the policy domainconsidered in step 2716 requires a matching host ID, then Access Server34 proceeds to step 2717. Otherwise, Access Server 34 proceeds directlyto step 2706 where the requested resource is mapped to the policy domainassociated with the currently considered URL prefix. In step 2717, if amatching host ID is found, Access Server 34 proceeds to step 2706. If nomatching host ID is found, Access Server 34 returns to step 2704 whereit determines whether additional matching URL prefixes exist.

If no matching URL prefix is found in step 2704, then Access Server 34proceeds to step 2708. In step 2708, Access Server 34 crops theright-most term from the resource URL prefix compared in step 2702.Thus, if the resource URL prefix compared in step 2702 reads:“/oblix/sales/index.html” then the resource URL prefix will be croppedin step 2708 to read: “/oblix/sales.” If the entire resource URL prefixhas been cropped in step 2708 such that no additional terms remain (step2710), then the method proceeds to step 2712 where Access Server 34concludes that there is no policy domain associated with the requestedresource. However, if one or more additional terms remain in theresource URL prefix, then the method returns to step 2702 where thecropped URL prefix is compared with URL prefixes cached in the URLprefix cache.

As will be apparent from FIG. 67, the method recursively performs steps2702, 2704, 2708, and 2710 until either a match is found (step 2704) orthe entire resource URL prefix has been cropped (step 2710). In anycase, the method of FIG. 67 will inevitably return either a successfulmapping (step 2706) or no mapping (step 2712).

FIG. 68 provides a flow chart describing a method for loading anauthentication rule. In step 2730, Access Server 34 loads the firstlevel (default) authentication rule for the policy domain mapped in step2636 of FIG. 66 from Directory Server 36 into an authentication rulecache. In one embodiment, success and failure actions are part ofauthentication and authorization rules. In this step, Access Server 34also builds an array of all second level rules and patterns associatedwith each of the policies for the policy domain. Access Server 34 thenselects a second level rule in the array (step 2731). The selectedsecond level rule is part of a policy. In step 2732, Access Server 34performs a pattern matching method for determining whether the ruleapplies to the requested resource. If so, then Access Server 34 proceedsto step 2735; otherwise, Access Server 34 determines whether all rulesin the array have been evaluated (step 2733). If, in step 2733, it isdetermined that not all of the rules in the array have been evaluated,then Access Server 34 selects the next rule in the array (step 2734) andreturns to step 2732. Once all rules in the array have been considered(step 2733), the first level authentication rule previously loaded instep 2730 is returned as the authentication rule. No second levelauthentication rule is loaded into authentication rule cache, and themethod of FIG. 68 is done (step 2737). If an associated policy was foundin step 2732, then the system caches the second level authenticationrule, and success and failure actions for the rule in the authenticationrule cache (step 2735), returns that second level authentication rule(step 2736), and the method is done (step 2737).

FIG. 69 is a flow chart describing a method for determining whether apolicy is associated with a resource. A policy URL can contain thefollowing three types of patterns:

1. Pattern on the path of the URL: This is the part of URL that does notinclude the scheme (“http”) and host/domain (“www.oblix.com”), andappears before a ‘?’ character in the URL. In the example URL:

http://www.oblix.com/oblix/sales/index.html?user=J.Smith&dept=engg

 the absolute path is “/oblix/sales/index.html.”

2. Pattern on name value pairs in the URL: This may be a set ofpatterns.

They apply to query data (data appearing after the ‘?’ character in theURL when operation is GET, or the POST data if operation is POST) andare configured as name (no pattern allowed) plus a pattern or value. Forexample:

variable name pattern user *Smith dept *sales*

If multiple name value pairs are specified, they all must match to theincoming resource URL. So the URL:

http://www.oblix.com/oblix/sales/index.html?user=J.Smith&dept=engg

will not match this pattern set. This pattern does not include a notionof order to these name-value pairs. A URL:

http://www.oblix.com/oblix/sales/index.html?dept=sales&user=J.Smith

(with reverse order of “dept” and “user”) will also satisfy thispattern. This is important because it is usually difficult to controlthe order of name value pairs in GET/POST query data.

3. Pattern on the entire query string: This is useful when anadministrator desires to enforce an order on the query string. Forexample, a pattern “user=*Smith*sales” will match query string“user=J.Smith&dept=sales.”

A policy can contain one or more of above types of patterns. If multiplepatterns are specified in one policy, they ALL must match to theincoming resource URL. If not, that policy doesn't apply to the incomingresource URL.

Patterns used for one embodiment of the current invention can use thefollowing special characters:

1. ?: Matches any one character other than ‘/’. For example, “a?b”matches “aab” and “azb” but not “a/b.”

2. *: Matches any sequence of zero or more characters. Does not match‘/’. For example, “a*b” matches “ab,” “azb,” and “azzzzzzb but not“a/b.”

3. [“set”]: Matches one from a set of characters. “set” can be specifiedas a series of literal characters or as a range of characters. A rangeof characters is any two characters (including ‘-’) with a ‘-’ betweenthem. ‘/’ is not a valid character to include in a set. A set ofcharacters will not match ‘/’ even if a range which includes ‘/’ isspecified. Examples includes: “[nd]” matches only “n” or “d”; “[m-x]”matches any character between “m” and “x” inclusive; “[--b]” matches anycharacter between “-” and “b” inclusive (except for “/”); “[abf-n]”matches “a,” “b,” and any character between “f” and “n” inclusive; and“[a-f-n]” matches any character between “a” and ‘f’ inclusive, “-,” or“n.” The second “-” is interpreted literally because the “f” precedingit is already part of a range.

4. {“pattern1,”“pattern2,”. . . }: Matches one from a set of patterns.The patterns inside the braces may themselves include any other specialcharacters except for braces (sets of patterns may not be nested).Examples includes: “a{ab,bc}b” matches “aabb” and “abcb”; “a{x*y,y?x}b”matches “axyb,” “axabayb,” “ayaxb,” etc.

5. “/ . . . /”: Matches any sequence of one or more characters thatstarts and ends with the ‘/’ character. Examples includes: “/ . . ./index.html” matches “/index.html,” “/oblix/index.html,” and“/oblix/sales/index.html,” but not “index.html,” “xyzindex.html,” or“xyz/index.html”; and “/oblix/ . . . /*.html” matches“/oblix/index.html,” “/oblix/sales/order.html,” etc.

6. “/”: Any character preceded by a backslash matches itself. Backslashis used to turn off special treatment of special characters. Examplesinclude “abc*d” only matches “abc*d”; and “abc\\d” only matches “abc\d.”

To increase the speed of pattern matching, the system tries to do somework up front. When Access Server 34 loads a pattern, it creates anobject. This object's constructor “compiles” the pattern. This compilingis essentially building a simple state machine from one pattern toother, i.e., it creates a chain of “glob nodes.” Each glob node consistsof either one pattern or a node set. For example, consider pattern: / .. . /abc*pqr{uv,xy

}.

The chain would look like:

node(“/. . . /”) ---> node(“abc”) ---> node(“*”) ---> node(“pqr”)--->nodeset(node(“uv”), (node(“xy”) ---> node(“*”)))

Once the chain is constructed, it is used to match a resource URL to thepattern. Each node or node set in this chain takes a pointer to astring, walks it and decides if it matches the pattern held by the node.In doing so, it also moves this pointer further up in the string. Forexample, when the system gets a URL “/1/3/abcdepqrxyz,” the system takesthis string and starts walking the chain. Below is an example ofevaluation at each node/node set and pointer (*p) in the string. Notethat the original string is not modified. To begin with lets assume thatthe pointer points to the beginning of the string:*p->“/1/3/abcdepqrxyz. ”:

Step 1: node(“/ . . . /”)--->MATCHES--->advance *p->“abcdepqrxyz.”

Step 2: node(“abc”)--->MATCHES --->advance *p->“depqrxyz.”

Step 3: node(“*”)--->matches everything except special characters(unescaped ‘?,’‘*,’‘[,‘’],’‘{,‘’},’‘/’), so at this point, the systemtries matching to the next node, node(“pqr”) like this:

a) does *p->“depqrxyz” match node (“pqr”)? NO, advance *p->“epqrxyz.”

b) does *p->“epqrxyz” match node (“pqr”)? NO, advance *p->“pqrxyz.”

c) does *p->“pqrxyz” match node (“pqr”)? YES, advance *p->“xyz.” If wewalked to the end of string and didn't find a “pqr” (for example in caseof URL “/1/3/abcdefgh”) there is no match.

Step 4: nodeset(node(“uv”), (node(“xy”)--->node(“*”))): A nodeset willmatch an incoming string (in the example, *p->“xyz”) to one of the setmembers. In this case “xyz” does not match “uv,” but it does match“xy*.” So there is a MATCH and *p->‘/0.’

Step 5: The pointer is at the end of the string. So the match issuccessful.

At any point, if the system finds a node that does not match its string,the system stops processing and concludes that the string does not matchthe pattern. For example, a URL “/1/3/dddddd” will clear step 1 above,but will fail step 2, so the matching stops after step 2.

Referring to FIG. 69, in step 2740, Access Server 34 retrieves thepolicy information from a policy domain cache, which cache's data fromthe directory server. The policy information can include one or more ofthe following: a URL absolute path, a query string, and zero or morequery variables. In step 2741, Access Server 34 determines whether therequested resource matches the policy resource type. If the resourcetype does not match, Access Server 34 skips to step 2752. However, ifthe resource type does match, Access Server 34 proceeds to step 2742. Instep 2742, Access Server 34 determines whether the operation used torequest the resource matches a policy operation type. If the operationtype does not match, Access Server 34 skips to step 2752. If theoperation type does match, Access Server 34 proceeds to step 2743.

In step 2743, the policy URL absolute path, query variables, and querystrings are broken up into various nodes, as described above. In step2744, the various nodes are stored. Access Server 34 accesses therequested resource URL in step 2746. In step 2748, the first node of thepolicy URL is considered by Access Server 34. In step 2750, AccessServer 34 considers whether the considered node matches the resourceURL, as described above. If the first node does not match, then theentire policy will not match (step 2752). If the node does match theresource URL, or if there is no nodes for the policy, then in step 2754it is determined whether there are any more nodes to consider. If morenodes remain to be considered, then in step 2756 the next node isconsidered and the method loops back to step 2750. If there are no morenodes (step 2754), the query string for the policy is compared to thequery string of the resource URL in step 2758. If the query string forthe policy exactly matches the query string for the resource URL, or ifthere is no query string for the policy, then the method continues withstep 2760. If the query string for the policy does not match the querystring for the resource URL, then the resource URL does not match and isnot associated with the policy (step 2752).

In step 2760, it is determined whether there are any query variables toconsider that have not already been considered. If there are queryvariables to consider, then the next query variable is accessed in step2764. The accessed query variable is searched for in the resource URL instep 2765. If the query variable is found in the resource URL and thevalue for the query variable matches the stored value query variable infor the policy (step 2766), then the method continues at step 2760;otherwise, Access Server 34 proceeds to step 2767. The purpose of steps2760, 2764, 2765, and 2766 is to determine whether each of the queryvariables (and associated values) defined for a policy are found, in anyorder, in the resource URL. If all of the query variables are in the URLwith the appropriate values, than there is a match (step 2770). In oneembodiment, the query string and the query variables are in the portionof the URL following the question mark.

If, in step 2766, a match is not found, then it is determined whether amatch may still be possible using POST data. In one embodiment,resources are mapped to policies by matching POST data submitted withresource requests. Thus, different policies can be associated with agiven resource, depending on the contents of the POST data. For example,a user may request a resource during the course of submitting an onlineform containing POST data. Applicable policies can be mapped on thebasis of POST data added to the policy. In step 2767, Access Server 34determines whether the policy operation type is an HTTP POST request. Ifnot, then there is no match (step 2752). However, if the operation typeis an HTTP POST request, then Access Server 34 proceeds to step 2768where Access Server 34 requests and receives the POST data from Web Gate28. In one embodiment, Web Gate 28 transmits a flag with all POSTrequests forwarded to Access Server 34. When POST data is transmittedwith an HTTP POST request, the flag is set. If no POST data istransmitted, then the flag is not set. In step 2769, Access Server 34evaluates whether the POST data received in step 2768 matches the POSTdata required by the policy to achieve a match. If the POST datamatches, then the method proceeds to step 2770. Otherwise, the methodproceeds to step 2752.

An Internet domain can reside on a single Web Server, or be distributedacross multiple Web Servers. In addition, multiple Internet domains canreside on a single Web Server, or can be distributed across multiple WebServers. In accordance with the present invention, the Access Systemallows a user to satisfy the authentication requirements of a pluralityof domains and/or Web Servers by performing a single authentication.

In the simplest case, all of an e-business host company's Web Serverswill be in the same domain (i.e. oblix.com). When a user successfullyauthenticates at one of the Web Servers, the Web Gate running on theauthenticating Web Server causes the Web Server to return an encryptedcookie, indicating a successful authentication. Subsequent requests bythe browser to the domain will pass this cookie (assuming the cookieapplies to the requested URL), proving the user's identity; therefore,further authentications are unnecessary.

In a more complex case, an e-business host company's web presenceincorporates associated web sites whose Web Servers have names inmultiple domains. In such a multiple domain case, each of the associatedportal Web Servers use a Web Gate plug-in configured to redirect userauthentication exchanges to the e-business host's designated web log-inWeb Server. The user is then authenticated at the e-business host's weblog-in server, and an encrypted cookie is issued for the e-businesshost's domain to the user's browser. The user's browser is thenredirected back to the original associated portal's site where the WebGate creates a new cookie for the associated portal's domain and returnsit to the user's browser.

As a result, the user is transparently authenticated in both theoriginal associated portal's domain and the e-business host's domain.The process is transparently performed for each different associatedportal that a user may visit during a session. The present invention'sassociated portal support easily supports single Web Servers havingmultiple DNS names in multiple domains, and/or multiple networkaddresses. In accordance with the present invention, this multipledomain authentication enables “staging” of web sites. For example, a newedition of a web site can be deployed on a separate set of servers, andthen mapped to policy domains protected by the present invention bysimply updating the policy domain's host ID's.

FIG. 70 provides a flow chart of one embodiment of a method forauthenticating. In step 2920, the system accesses the resource cache (orthe directory server) to determine what authentication challenge methodis to be used for the given resource. The system then accesses theauthentication scheme cache (or the directory server) in step 2922 todetermine whether the authentication scheme associated with therequested resource has been previously cached. If the authenticationscheme is found, then the system determines the specific type ofchallenge method in step 2926. If the challenge scheme was not found instep 2922, the system loads the authentication rule associated with therequested resource from Directory Server 36 in step 2924, and thenproceeds to step 2926.

In step 2926, the system discerns whether the authentication challengescheme retrieved calls for basic, form, certificate, or noauthentication. If the challenge scheme indicates basic authentication,then the method proceeds to step 2928 and performs basic authentication.If the challenge scheme indicates form authentication, then the methodproceeds to step 2930 and performs form authentication. If the challengescheme indicates certificate authentication, then the method proceeds tostep 2932 and performs certificate authentication. If the challengescheme indicates that no authentication is required (step 2934), thenthe user is not challenged, authentication is not performed.

FIG. 71 provides a block diagram of an authentication cookie 3150 passedby Web Gate 28 to browser 12 in step 2580 of FIG. 65. Cookie 3150 isencrypted with a symmetric cipher so that cookies from all instances ofWeb Gate 28 in a given deployment of the present invention may beencrypted using the same key. This key (called a shared secret) isstored on Directory Server 36 and distributed to each of the Web Gates28 by Access Server 34. The shared secret can change as often as desiredby an administrator. In one embodiment of the present invention, cookie3150 is encrypted using RC4 encryption with a 2048 bit key. In oneembodiment, previously valid keys are grandfathered such that both thecurrent key and the immediately prior key will both work to de-cryptencrypted cookie 3150. The present invention features a one-button keyre-generation function. This function is easily scriptable.

In one embodiment, the information stored by cookie 3150 includes: (1)the authentication level 3152 of the authentication scheme used tocreate the cookie, (2) the user ID 3154 of the authenticated user, (3)the IP address 3156 of the authenticated user, and (4) session starttime 3158 identifying the time at which cookie 3150 was created. If thetime elapsed since the session start time 3158 exceeds a maximum sessiontime, the cookie will become invalid. Idle start time 3160 is alsostored, which identifies the time when the previous HTTP request for aprotected resource was made in which cookie 3150 was passed. If the timeelapsed since the idle start time 3160 exceeds a maximum idle time, thecookie will become invalid. Both of these time limits force users tore-authenticate if they have left a session unattended for longer thanthe maximum session or idle times. In one embodiment, user ID 3154stores the distinguished name for the authenticated user.

Cookie 3150 also stores a secured hash 3162 of information 3152, 3154,3156, 3158, and 3160. In one embodiment of the present invention,secured hash 3162 is created using an MD5 hashing algorithm. MostInternet browsers cache a user's supplied authentication informationduring basic and certificate authentication challenge methods, and thentransparently re-send the information upon receiving an authenticationchallenge from a Web Server. In one embodiment, an administrator canenable a form authentication challenge method requiring end users tore-authenticate upon expiration of the maximum session or maximum idletime limits.

FIG. 72 provides a flow chart describing a method for attempting toauthorize a user. In step 3194, Access Server 34 determines whether oneor more authorization rules associated with the requested resource arefound in an authorization rule cache. If one or more rules are found,Access Server 34 proceeds to step 3196. Otherwise, Access Server 34retrieves any authorization rules associated with the requested resourcefrom Directory Server 36 in step 3198. In one embodiment, authorizationsuccess and failure actions are retrieved with the authorization rules.After retrieving the authorization rules, Access Server 34 proceeds tostep 3196 and reads the first authorization rule associated with therequested resource from the authorization rule cache. Access Server 34applies the authorization rule in step 3200.

If the authorization rule is satisfied in step 3202, Access Server 34determines whether the identity profile attributes for the user arefound in a user profile cache (step 3204). If so, Access Server 34proceeds to step 3208. If not, Access Server 34 retrieves the attributesof the current user (step 3207), and communicates the authorizationsuccess actions and attributes to Web Gate 28 (step 3208).

If the authorization rule is not satisfied (step 3202), then AccessServer 34 determines whether more authorization rules remain to beevaluated (step 3209). If more rules remain, the next rule is read (step3196) and evaluated (step 3200). If no more rules remain, Access Server34 determines whether the attributes for the user is found in the userprofile cache (step 3210). If so, Access Server 34 proceeds to step3212. If not, Access Server 34 retrieves the attributes of the currentuser (step 3211), and communicates the authorization success actions andattributes to Web Gate 28 (step 3212).

FIG. 73 provides a flow chart describing a method for loading anauthorization rule from Directory Server 36. In step 3280, Access Server34 loads the default authorization rule for the mapped policy domainfrom Directory Server 36 into the authorization rule cache. AccessServer 34 then selects a first rule (step 3282) and determines whetherthe selected rule is a second level (specific) rule of a policyassociated with the requested resource (step 3284). If yes, then AccessServer 34 proceeds to step 3292. Otherwise, Access Server 34 determineswhether all rules in the array have been evaluated (step 3286). If not,then Access Server 34 selects the next rule (step 3288) and returns tostep 3284. Once all rules in the array have been considered (step 3286),Access Server 34 proceeds to step 3294. If a second level authorizationrule (a rule defined in a policy) was found for the requested resourcein step 3284, then Access Server 34 caches the second levelauthorization rule in the authorization rule cache (step 3292). If asecond level policy authorization rule was not found, then the defaultauthorization rule previously loaded in step 3280 remains the onlyrelevant rule in the authorization rule cache.

FIG. 74 provides a flow chart describing the method of applying anauthorization rule (step 3200 of FIG. 72). In one embodiment,authorization can be performed using POST data. In another embodiment,POST data is not used for authorization. If POST data is to be used forauthorization, then the method of FIG. 74 begins with optional step3320. Otherwise, the method begins at step 3324. In optional step 3320,if the resource request employs a POST request method, then AccessServer 34 proceeds to optional step 3322 where it applies theauthorization rule to the POST data.

If the resource request does not employ a POST request method (or ifPOST data is not enabled to be used for authorization), then AccessServer 34 proceeds to step 3324. If specific users are defined (bydistinguished name) in the authorization rule, Access Server 34evaluates whether the distinguished name of the authenticated usermatches the distinguished name(s) called for by the authorization rule(step 3326). If specific groups are defined in the authorization rule(step 3328), Access Server 34 evaluates whether the authenticated useris a member of the groups identified in the authorization rule (step3330). If specific roles are defined in the authorization rule (step3332), then Access Server 34 evaluates whether the role of theauthenticated user matches the role called for by the authorization rule(step 3334). If specific LDAP rules are defined in the authorizationrule (step 3340), Access Server 34 evaluates whether the attributes ofthe authenticated user (and/or other data) satisfy the LDAP rule of theauthorization rule (step 3342). In one embodiment, the result of theLDAP rule evaluation in step 3342 is cached. If specific IP addressesare defined in the authorization rule (step 3344), Access Server 34evaluates whether the IP address of the authenticated user matches theIP address called for by the authorization rule (step 3346). If asuccessful match is found at any point (steps 3327, 3331, 3335, 3343,and 3347), the authorization is successful (step 3350). If no matchesare found, authorization is unsuccessful (step 3352). In someembodiments, authorization is only successful if multiple matches arefound. For example, a user must have the appropriate rule, be a memberof the appropriate group and have an appropriate IP address.

More details of various processes for authenticating and authorizing,including using an application programinterface, can be found in U.S.patent application Ser. No. 09/814,091, “Access System Interface,” filedon Mar. 21, 2001, Charles W. Knouse and Minoo Gupta (“'091Application”), which in its entirety is incorporated herein byreference. Specifically, FIGS. 14-56 of the '091 Application describethe details of one set of implementations for authenticating andauthorizing. FIGS. 58-62 of the '091 Application describe a set ofembodiments that use an application program interface for accessing thesystem. The present invention can make use of the authentication and/orauthorization technology described in the '091 Patent or various othermethods of authentication and/or authorization.

The foregoing detailed description of the invention has been presentedfor purposes of illustration and description. It is not intended to beexhaustive or to limit the invention to the precise form disclosed. Manymodifications and variations are possible in light of the aboveteaching. The described embodiments were chosen in order to best explainthe principles of the invention and its practical application to therebyenable others skilled in the art to best utilize the invention invarious embodiments and with various modifications as are suited to theparticular use contemplated. It is intended that the scope of theinvention be defined by the claims appended hereto.

I claim:
 1. A method for using an Identity System, comprising: (a)receiving a request to access one or more identity profiles in saidIdentity System, each of said identity profiles include a plurality ofattributes, said request includes an indication as to whether to performclient-side output processing or server-side output processing; (b)accessing said one or more identity profiles and generating XML outputin response to said request, said XML output includes information basedon at least a subset of said attributes; (c) determining whether toperform client-side processing or server-side processing of said XMLoutput based on said indication included in said request; and (d)preparing a client-side response to said request based on said XMLoutput if said determination in said step (c) calls for performingclient-side processing and preparing a server-side response to saidrequest based on said XML output if said determination in said step (c)calls for performing server-side processing.
 2. The method of claim 1,wherein said step of preparing a client-side response includes:providing said XML output without references to any XSL stylesheet. 3.The method of claim 1, wherein said step of preparing a client-sideresponse includes: providing said Output XML and references to a set ofone or more XSL stylesheets.
 4. The method of claim 3, wherein said step(c) includes the step of: (i) determining whether to include referencesto a set of XSL stylesheets with said client-side response.
 5. Themethod of claim 1, wherein said step (d) includes: preparing a HTMLresponse based on said Output XML and a set of XSL stylesheets.
 6. Themethod of claim 1, wherein said step (c) includes the step of: examininga parameter in said request to determine whether to perform client-sideprocessing.
 7. The method of claim 1, wherein said step (d) includes thestep of: examining a parameter in said request to identify a XSLstylesheet for use in preparing said response.
 8. The method of claim 1,further including the step of: (e) performing post-processing on saidXML output to obtain a modified XML Output.
 9. The method of claim 8,wherein said step (e) includes the steps of: (1) retrieving a pointer toa post-processing application from an event catalogue; and (2)performing said post-processing application.
 10. The method of claim 9,wherein said post-processing application is a decryption application.11. The method of claim 1, wherein said steps (a), (b), (c), and (d) areperformed by an Identity System integrated with an Access System. 12.One or more processor readable storage devices having processor readablecode embodied on said processor readable storage devices, said processorreadable code for programming one or more processors to perform a methodcomprising the steps of: receiving a request to access one or moreidentity profiles in said Identity System, each of said identityprofiles include a plurality of attributes, said request includes anindication as to whether to perform client-side output processing orserver-side output processing; accessing said one or more identityprofiles and generating XML output in response to said request, said XMLoutput includes information based on at least a subset of saidattributes; preparing a response to said request, said step of preparingincludes preparing a client-side response to said request based on saidXML output if said indication included in said request calls forperforming client-side output processing and preparing a server-sideresponse to said request based on said XML output if said indicationincluded in said request calls for performing server-side outputprocessing.
 13. One or more processor readable storage devices accordingto claim 12, wherein said step of preparing a client-side responseincludes: (i) providing said XML output.
 14. One or more processorreadable storage devices according to claim 12, wherein said step ofpreparing a client-side response includes: (ii) providing said XMLoutput and references to a set of XSL stylesheets.
 15. One or moreprocessor readable storage devices according to claim 12, wherein saidstep of preparing a server-side response includes: (i) preparing a HTMLresponse based on said XML output and a set of one or more XSLstylesheets.
 16. One or more processor readable storage devicesaccording to claim 12, further including the step of: (e) performingpost-processing on said XML output to obtain a modified Output XML. 17.One or more processor readable storage devices according to claim 12,wherein said steps (a), (b), (c), and (d) are performed by an IdentitySystem in communication with an Access System.
 18. An apparatuscomprising: one or more communications interfaces; one or more storagedevices; and one or more processors in communication with said one ormore storage devices and said one or more communication interfaces, saidone or more processors perform a method comprising: receiving a requestto access one or more identity profiles in said Identity System, saidrequest includes an indication as to whether to perform client-sideoutput processing or server-side output processing; accessing said oneor more identity profiles and generating XML output in response to saidrequest; preparing a response to said request, said step of preparingincludes preparing a client-side response to said request based on saidXML output if said indication included in said request calls forperforming client-side output processing; and preparing a server-sideresponse to said request based on said XML output if said indicationincluded in said request calls for performing server-side outputprocessing.
 19. The apparatus of claim 18, wherein said step ofpreparing a client-side response includes: (i) providing said XML outputwithout references to any XSL stylesheets.
 20. The apparatus of claim18, wherein said step of preparing a client-side response includes:providing said XML output and references to a set of XSL stylesheets.21. The apparatus of claim 18, wherein said step of preparing aserver-side response includes: (i) preparing a HTML response based onsaid XML output and a set of XSL stylesheets.
 22. The apparatus of claim18, further including the step of: (e) performing post-processing onsaid XML output to obtain a modified Output XML.
 23. The apparatus ofclaim 18, wherein: said one or more processors implement an IdentitySystem integrated with an Access System.
 24. A method for using anIdentity System, comprising: receiving a request to access one or moreidentity profiles in said Identity System, each of said identityprofiles include a plurality of attributes, said request includes anindication as to whether to perform client-side output processing orserver-side output processing; accessing said one or more identityprofiles in response to said request; generating XML output in responseto said request, said XML output includes information based on at leasta subset of said attributes; preparing a client-side response to saidrequest based on said XML output if said indication included in saidrequest calls for performing client-side output processing; andpreparing a server-side response to said request based on said XMLoutput if said indication included in said request calls for performingserver-side output processing.
 25. A method according to claim 24,wherein: said XML output includes at least a subset of said attributes.26. A method according to claim 24, wherein: said step of preparing aserver-side response includes creating a new format for said XML output.27. A method according to claim 24, wherein: said step of preparing aserver-side response includes using XSL to create HTML for said XMLoutput.
 28. A method according to claim 24, wherein: said step ofpreparing a client-side response includes transmitting said XML outputto a first client.
 29. A method according to claim 28, wherein: said XMLoutput includes at least a subset of said attributes; said step ofpreparing a server-side response includes using XSL to create HTMLoutput for said XML output; and said HTML output includes one or more ofsaid subset of said attributes.
 30. A method according to claim 24,wherein: said XML output includes a data file.
 31. A method for using anIdentity System, comprising: receiving a request to access one or moreidentity profiles in said Identity System, each of said identityprofiles include a plurality of attributes, said request indicateswhether to output in XML format or HTML format; accessing said one ormore identity profiles in response to said request; generating an outputin response to said request, said output includes information based onat least a subset of said attributes; dynamically determining whether tosupply said output in XML format or HTML format based on said request;providing said output in HTML format if said step of dynamicallydetermining concludes to supply said output in HTML format; andproviding said output in XML format if said step of dynamicallydetermining concludes to supply said output in XML format.
 32. A methodaccording to claim 31, wherein: said output is initially in XML format.33. A method according to claim 31, wherein: said output includes atleast a subset of said attributes.